Welcome to the SES Portal!

This job aid serves as a guide for new to conduct their first exam in the . It highlights the basic workflow of an exam in SES and points out important information along the way.

The Supervisory Activities page is where you can see a list of all supervisory activities in SES.

Describes how the "Master Viewer" role in SES can be used to oversee an agency's supervisory activities (SAs).

The Library was developed to help standardize the examination process from agency to agency. The library contains four types of items: procedures, information requests, references, areas for review, and work programs.

The library was developed to help standardize the examination process from agency to agency. Managing the library includes adding, removing and updating agency-specific library items.

Exam Scheduling allows an agency to plan out in advance which exams it will conduct in a given time period. Scheduling allows agencies to avoid duplicate examinations across state agencies through better information sharing.

Participants on a can be added or removed at any time until the exam is . You can also update user roles on an SA or reassign the .

How to download documents uploaded as part of a supervisory activity (SA).

CSBS Support Staff can add documents to a company’s record in SES from external sources (other than NMLS and SES), including federal and state agencies.

The first step in conducting an exam, investigation, or enforcement in SES is to on a company.

Examiners in Charge (EICs), and Staff Users that are participants on a supervisiry activity (SA) can make updates to the basic details of an examination and save them to the SA.

You can cancel a supervisory activity (SA) in SES at any time before the report is sent to the company.

When initiating a in SES, you have the option of sending it for review.

The staff director or staff user who initiated a supervisory activity (SA) has the option of sending the SA for review to one or more staff directors before it is scheduled.

The workflow and its milestones are displayed on the supervisory activity's Summary page. There are seven milestones in total, and there are specific tasks to be completed in that phase of the supervisory activity.

The plan informs participants of their responsibilities within the exam. Defining the plan is optional.

The scope determines the content that will be reviewed during a supervisory activity, including the review period, business types and business activities, and the areas for review within the selected business types and activities.

Once the examiner in charge (EIC) sends an item (Scope, Plan, MRA, etc.) for review, the first reviewer selected in the step is the primary reviewer. Only the first reviewer selected to review the item can follow these steps.

contain template language used to request information from a company.

When conducting an with a Loan File Review , you can send an Information Request (IR) to the company asking for a full list of their loan information.

Transaction requests in SES allow agency users to initiate and manage formal requests related to specific transactions during a money services business (MSB) examination. Unlike information requests or loan requests, which target broader data or document categories, transaction requests focus on obtaining evidence tied to individual transactions, supporting detailed analysis and issue identification throughout the examination lifecycle.

Learn how to use the agent location requests functionality in SES as part of an MSB examination.

Users conducting MSB exams can export work completed in SES into a template that matches the MTRA work program.

Procedures are used to guide examiners during the examination in the review of company documentation or compliance with statutes, regulations, and other requirements.

Conducting the exam consists of reviewing responses, working procedures and adding or reviewing findings.

A finding is an issue identified by a state agency user during the supervision of a financial institution in SES. The finding may describe the company’s strengths and/or weaknesses regarding its compliance management system, assess the company’s compliance with consumer protection laws or regulations, or any potential consumer harm. A finding may be either a violation, recommendation, or observation.

Conducting the exam consists of reviewing information request (IR) responses, working procedures, and adding or reviewing findings and finding commentary.

Schedule the exit meeting when you are ready to review the results of your examination with the company you are examining.

This topic provides an overview of the Financial Statements section in SES, which allows agency users to capture and analyze a company’s financial data within the context of a money services business (MSB) examination. Examiners can create a structured financial grid—similar to the MTRA Work Program workbook—to assess financial health, identify risks, and support consistent, data-driven examination decisions.

Assembling and managing report package, report commentary, and company response.

Matters Requiring Attention are optional tools to enable communications between agency and company regarding the resolution of findings from the exam.

When a is completed, you can close and lock it.

SES provides functionality that allows you to document the time and expenses your agency incurs while conducting a supervisory activity.

Learn about the Company Documents page on a supervisory activity (SA) in SES. The Company Documents page provides a centralized location to view all documents uploaded by the company for a supervisory activity.

The Search Agencies feature in the Agency Management widget on the SES home page allows staff users or staff directors to view a list of all agencies, and filter or search that list to find a specific agency in any state or U.S. territory.

Depending on the level of access granted within the system, agencies can see different information about a supervisory activity.

To get more insight on a supervisory activity (single or multi-state) that is currently in progress or already took place, this feature allows you to request access. When the request is approved, detail level access to the supervisory activity (SA) becomes available.

The can view and manage any access requests from the homepage. Allowing another agency to access supervisory activities conducted by your agency allows information about companies under supervision to be shared.

An agency staff director can invite other agencies to participate in an SA. The invitation is sent to all staff directors at the invited agencies.

Joining another agency's supervisory activity allows you to participate in the process of examining a company. This reduces the regulatory burden on companies and duplication of effort within state agencies that regulate the same company.

When multiple agencies come together to conduct a SA on a company, it is called a multi-state SA. It includes the lead agency (Examiner in Charge) and participating agencies. Participants from additional agencies can have the examiner/examiner reviewer roles.

acceptance is a system workflow that allows agencies to accept another agency’s SA in their completed . This functionality supports the objectives of networked supervision () by giving state agencies another tool to collaborate and leverage the work of other agencies.

Leveraging another agency's allows your agency to include that SA in your examination.

If the changes during the course of a multi-state supervisory activity (SA), you can reassign the lead agency and the before the report is sent or before the SA is closed.

CSBS support staff can create Multi-state Mortgage Committee (MMC) shell exams on behalf of agencies.

Learn about the Communication page in SES supervisory activities (SAs).

The Interactions page serves as a place where communication between the agency and company is captured. This includes emails, phone calls, meetings, physical mail and other miscellaneous forms of communication specific to the supervisory activity.

The Agency Metrics in SES provide a dashboard view of both your agency's activity and nationwide activity in SES.

The nationwide reports in SES contain nationwide supervisory activity information about all agencies except the user's own agency.

After your agency has initiated a , you can access the New Supervisory Activity Progress Report to view the progress of all your initiated supervisory activities and what actions need to be taken to move the exam or investigation forward.

The SA Staffing report gives you insight into your agency’s examiners’ availability and workload. This can help you to determine who should be a participant on upcoming supervisory activities (SAs) based on their availability.

Allowing another agency to access supervisory activities completed by your agency allows information about companies under supervision to be shared. To leverage or accept a conducted by your agency, another agency must first have access to the SA.

Staff users and staff directors can view the SA Invitation Report to view invitations to join supervisory activities (SAs) that your agency has sent or received.

The SA Acceptance and Leverage Report displays the following: SAs that are in any status in the acceptance process, and SAs that are being leveraged from other agencies.

You can access the SA IR Response Activity Report to view the progress of all the information requests on your agency’s supervisory activities that have been responded to by the company.

Rather than navigating directly to a specific SA to manage document retention, you can use the Document Retention Report to view and manage SAs with upcoming or currently suspended document retention policies.

SES has reports available containing data about your agency’s supervisory activities. Within the reporting tool, agency users will find metrics and graphs for supervisory activities with findings, as well as open and closed supervisory activities.