Teller Compliance Training Matrix by Topic

This course provides a clear and practical introduction to deposit compliance, focusing on Regulation D and Regulation DD. Learners will explore how these regulations protect both customers and financial institutions by promoting fairness, transparency, and trust. The course explains FDIC oversight, reserve requirements, covered deposits, and savings withdrawal limits under Regulation D, as well as disclosure standards and the Truth in Savings Act enforced by Regulation DD. Through real-world branch examples, learners will gain the knowledge and communication skills needed to explain limits, fees, and disclosures accurately and confidently during customer interactions.

This course helps tellers understand how U.S. regulators influence their day-to-day responsibilities. Learners explore FinCEN’s mission to prevent financial crime, how to complete and escalate CTRs and SARs, explain FDIC insurance coverage to customers, handle CFPB complaints appropriately, and interact confidently during regulatory examinations. Together, these lessons show how teller actions support compliance, protect customers, and strengthen the financial system.

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.