Teller Compliance Training Matrix by Topic

In this course, tellers will learn the foundational principles of ethical conduct in financial institutions. They will understand what a Code of Ethics is, why it is critical for compliance, and how it builds trust with clients and colleagues. The course covers the core principles of integrity, fairness, accountability, confidentiality, and transparency, as well as the regulatory frameworks (SOX, Dodd-Frank, GLBA, FCPA, SEC/FINRA rules) that support ethical compliance. Tellers will also explore common ethical challenges such as conflicts of interest, client confidentiality, and whistleblower concerns. By the end of the course, learners will be able to recognize ethical dilemmas, apply core principles, and align their conduct with institutional and regulatory expectations.

This course helps tellers identify, prevent, and manage conflicts of interest that may arise in financial institutions. Learners will start with a clear definition of conflicts of interest and examine the different types (personal, organizational, and third-party). The course explores the regulatory framework governing conflicts (SOX, Dodd-Frank, Investment Advisers Act, FCPA, SEC/FINRA), the impacts of unmanaged conflicts on client trust, reputation, and compliance, and the best practices for disclosure, segregation of duties, and whistleblower protections. By the end of the course, tellers will be able to recognize potential conflicts, follow institutional policies, and apply best practices to protect clients and the institution.