A loan manager in a large bank accessed a direct report's personal bank account in...

ATD CPTD Question Answer

A loan manager in a large bank accessed a direct report's personal bank account in the bank's system out of curiosity. This direct report became aware of the unauthorized account access and consulted the human resources (HR) department. The HR manager initiates an ethics investigation and also asks the talent development (TD) department to determine whether a training solution is needed. The TD professional assigned to this task has never before been involved in any compliance and ethics situation.

What should the TD professional do?

Review the laws and regulations regarding access to employee financial records.

Review company rules regarding accessing customer data.

Contact state regulators to determine if the loan manager's action is illegal.

Research vendors specializing in ethics training.

Review company policies on ethics and compliance.

Consult with the TD professional's direct manager about what to do first.

Consult with the compliance department.