Skip to main content

Loan Officer Compliance Training Matrix (by Topic)

Updated over 2 weeks ago

This matrix outlines the compliance training required for Loan Officers, grouped by Topic and separated into Must Know and Nice to Know categories.

Anti-Money Laundering (AML)

Bank Secrecy Act (BSA)

Office of Foreign Assets Control (OFAC)

Training Priority

Step Titles

Must Know

Office of Foreign Assets Control (OFAC): Overview 101

~18 mins

Resource: OFAC

Resource: Specially Designated Nationals and Responsibilities and Obligations

Mastery Test: OFAC: Overview 101

Nice to Know

Office of Foreign Assets Control (OFAC): Overview 102

~12 mins

Mastery Test: OFAC: Overview 102

Fair Lending

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

Training Priority

Step Titles

Must Know

Gramm-Leach-Bliley Act (GLBA) / Consumer Privacy 101

~20 mins

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

~10 mins

Resource: Overview of Regulations and Deposit Compliance Requirements

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

Regulation CC: Availability of Funds and Collection of Checks Act

~10 mins

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

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

Nice to Know

Deposit Compliance, Regulation D, and Regulation DD 101

~20 mins

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

Regulation CC: Availability of Funds and Collection of Checks Act

~14 mins

Resource: Regulation CC: Availability of Funds

Mastery Test: Availability of Funds and Collection of Checks Act

Cybersecurity

Training Priority

Step Titles

Must Know

Cybersecurity: Computer Security Basics 101

~15 mins

Resource: Cybersecurity

Mastery Test: Cybersecurity

U.S. Regulators

Training Priority

Step Titles

Must Know

U.S. Regulators 101

~14 mins

Mastery Test: U.S. Regulators 101

Code of Ethics

Conflicts of Interest (subtopic of Code of Ethics)

Did this answer your question?