Branch Manager Compliance Training Matrix (by Topic)

This matrix lists all compliance training steps for Branch Managers, organized by Topic and marked as Must Know. These are critical learning steps required to meet compliance standards.

Anti-Money Laundering (AML)

Training Priority	Step Titles
Must Know	Anti-Money Laundering (AML) 101 ~22 mins Resource: What is Anti-Money Laundering AML Defined AML Rules and Regulations Resource: The Three Stages of Money Laundering Stage 1: Placement Stage 2: Layering Stage 3: Integration Mastery Test: AML

Bank Secrecy Act (BSA)

Training Priority	Step Titles
Must Know	The Essentials of the Bank Secrecy Act ~24 mins Resource: Currency Transaction Report The Ins and Outs of Currency Transaction Reporting Resource: Suspicious Activity Report The Ins and Outs of Suspicious Activity Reporting Resource: Foreign Bank Account Report FBAR: What Needs and Doesn't Need to Be Reported Resource: Other Reports Other Reporting Requirements Mastery Test: Bank Secrecy Act 102
Nice to Know	The History, Scope, and Mission of the BSA ~22 mins Resource: Background and History of the BSA Background of the BSA The BSA’s History Resource: FinCEN FinCEN's Scope and Mission FinCEN’s Duties FinCEN’s Role as an FIU Mastery Test: Bank Secrecy Act 101

Office of Foreign Assets Control (OFAC)

Training Priority	Step Titles
Must Know	Office of Foreign Assets Control (OFAC): Identifying Red Flags ~28 mins Resource: Identifying Red Flags and Transactions Identifying Red Flags Red Flags: Transactions 1 Red Flags: Transactions 2 Resource: Other Transactions and Customer Accounts Red Flags: Other Transactions Red Flags: Customer Accounts Red Flags: Nature of Business, Origination of Funds, and Clients Mastery Test: Identifying Red Flags Office of Foreign Assets Control (OFAC): Overview 101 ~18 mins Resource: OFAC Overview of OFAC Resource: Specially Designated Nationals and Responsibilities and Obligations Specially Designated Nationals (SDNs) Responsibilities and Obligations Mastery Test: OFAC: Overview 101
Nice to Know	Office of Foreign Assets Control (OFAC): Overview 102 ~12 mins Resource: OFAC Authority The Ins and Outs of OFAC's Authority OFAC's Settlement With Standard Chartered Bank Mastery Test: OFAC: Overview 102

Fair Lending

Training Priority	Step Titles
Must Know	Fair Lending Overview and Discrimination Definitions ~22 mins Resource: Fair Lending Overview Fair Lending Overview Resource: Fair Lending Discrimination Definitions Illegal Discrimination Overt Discrimination Disparate Illegal Discrimination Disparate Impact Discrimination Mastery Test: Fair Lending Overview and Discrimination Definitions Establishing a Fair Lending Program ~16 mins Resource: Establishing a Fair Lending Program Factors Lenders May Consider Fair Lending Program Requirements Preventing the Occurrence of Fair Lending Violations Fair Lending Risk Factors Mastery Test: Establishing a Fair Lending Program
Nice to Know	Predatory Lending and Redlining ~18 mins Resource: Predatory Lending and Redlining What is Predatory Lending How Predatory Lending Works What is Redlining How Redlining Works Mastery Test: Predatory Lending and Redlining

Gramm-Leach-Bliley Act (GLBA) / Consumer Privacy

Training Priority	Step Titles
Must Know	Gramm-Leach-Bliley Act (GLBA) / Consumer Privacy 101 ~20 mins Resource: GLBA, CCPA and Consumer Privacy Privacy Overview Key Privacy Regulations Implementing Privacy Best Practices Challenges in Privacy Management Mastery Test: Privacy: GLBA, CCPA and Consumer Privacy

Deposit Compliance (Reg D, Reg DD, Reg CC, Reg E)

Training Priority

Step Titles

Must Know

Deposit Compliance, Regulation D, and Regulation DD 101

~30 mins

Resource: Overview of Regulations and Deposit Compliance Requirements

Deposit Compliance Overview

Overview of Relevant Regulations

Resource: Regulation D

Regulation D: Scope and Implementation
Regulation D: Covered Deposits and Liabilities
Regulation D: Reserve Requirements
Resource: Regulation DD

Regulation DD: Scope and Purpose
Regulation DD: Truth in Savings Act (TISA)

Mastery Test: Deposit Compliance Overview, Regulation D, and Regulation DD

Regulation CC: Availability of Funds and Collection of Checks Act

~12 mins

Resource: Regulation CC: Availability of Funds and Collection of Checks

Regulation CC: Scope and Purpose
Regulation CC: Next-Day Availability Deposits
Regulation CC: Requirements for Financial Institutions

Mastery Test: Regulation CC: Availability of Funds and Collection of Checks

Regulation E: Electronic Fund Transfers and Garnishment Rule

~22 mins

Resource: Regulation E: Electronic Fund Transfers

Regulation E: Scope and Purpose
Regulation E: Covered EFT Types

Resource: Garnishment Rule

Garnishment Rule: Part 1
Garnishment Rule: Part 2

Mastery Test: Regulation E and Garnishment Rule

Cybersecurity

Training Priority	Step Titles
Must Know	Cybersecurity: Computer Security Basics 101 ~15 mins Resource: Cybersecurity Cybersecurity Overview Key Cybersecurity Regulations Implementing Cybersecurity Best Practices Challenges in Cybersecurity Management Mastery Test: Cybersecurity

U.S. Regulators

Training Priority	Step Titles
Must Know	U.S. Regulators 101 ~14 mins Resource: FinCEN FinCEN's Scope and Mission FinCEN’s Duties FinCEN’s Role as an FIU Mastery Test: U.S. Regulators 101

Code of Ethics

Training Priority	Step Titles
Must Know	Code of Ethics ~ TBD Resource: Overview and Types of Conflicts of Interest What Is a Code of Ethics Resource: Why Ethical Culture Matters, Common Ethical Challenges, and Ethical Conduct in Customer Interactions Why Ethical Culture Matters Common Ethical Challenges Ethical Conduct in Customer Interactions Mastery Test: Code of Ethics

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