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Compliance Officer Training Matrix (by Topic)

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This matrix outlines all required and recommended compliance training steps for Compliance Officers, organized by Topic and Training Priority.

Anti-Money Laundering (AML)

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

Bank Secrecy Act (BSA)

Topic	Training Priority	Step Titles
Bank Secrecy Act (BSA)	Must Know	Background of the BSA Currency Transaction Report FBAR: What Needs and Doesn't Need to Be Reported Foreign Bank Account Report Mastery Test: Bank Secrecy Act 101 Mastery Test: Bank Secrecy Act 102 Other Reports Other Reporting Requirements Resource: Background and History of the BSA Suspicious Activity Report The Ins and Outs of Currency Transaction Reporting The Ins and Outs of Suspicious Activity Reporting

Office of Foreign Assets Control (OFAC)

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

Fair Lending

Topic	Training Priority	Step Titles
Fair Lending	Must Know	Disparate Illegal Discrimination Disparate Impact Discrimination Fair Lending Overview Fair Lending Program Requirements Fair Lending Risk Factors Factors Lenders May Consider Fostering Fair Lending with Customers Illegal Discrimination Mastery Test: Establishing a Fair Lending Program Mastery Test: Fair Lending Overview and Discrimination Definitions Mastery Test: Predatory Lending and Redlining Overt Discrimination Preventing the Occurrence of Fair Lending Violations Resource: Establishing a Fair Lending Program Resource: Predatory Lending and Redlining What is Predatory Lending What is Redlining How Predatory Lending Works How Redlining Works

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

Topic	Training Priority	Step Titles
Gramm-Leach-Bliley Act (GLBA) / Consumer Privacy	Must Know	Challenges in Privacy Management GLBA, CCPA and Consumer Privacy Historical Context of Privacy Regulations Implementing Privacy Best Practices Key Privacy Regulations Mastery Test: Privacy: GLBA, CCPA and Consumer Privacy Privacy Overview

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

Topic	Training Priority	Step Titles
Deposit Compliance (Reg D, Reg DD, Reg CC, Reg E)	Must Know	Check 21 Deposit Compliance Overview Garnishment Rule: Part 1 Garnishment Rule: Part 2 Mastery Test: Deposit Compliance, Regulation D, and Regulation DD Mastery Test: Regulation CC: Availability of Funds and Collection of Checks Act Mastery Test: Regulation E and Garnishment Rule Overview of Relevant Regulations Regulation CC: Next-Day Availability Deposits Regulation CC: Requirements for Financial Institutions Regulation CC: Scope and Purpose Regulation D Regulation D: Covered Deposits and Liabilities Regulation D: Reserve Requirements Regulation D: Scope and Implementation Regulation DD Regulation DD: Scope and Purpose Regulation DD: Truth in Savings Act Regulation E: Covered EFT Types Regulation E: Scope and Purpose Resource: Collection of Checks Resource: Garnishment Rule Resource: Overview of Regulations and Deposit Compliance Requirements

Cybersecurity

Topic	Training Priority	Step Titles
Cybersecurity	Must Know	Challenges in Cybersecurity Management Cybersecurity Case Studies Cybersecurity Overview Implementing Cybersecurity Best Practices Key Cybersecurity Regulations Mastery Test: Cybersecurity The Evolution of Cybersecurity in Financial Institutions

U.S. Regulators

Topic	Training Priority	Step Titles
U.S. Regulators	Must Know	FinCEN's Scope and Mission

Code of Ethics

Topic	Training Priority	Step Titles
Code of Ethics	Must Know	Code of Ethics: Overview Core Principles of a Code of Ethics Ethical Challenges Mastery Step: Code of Ethics Overview: Conflicts of Interest Regulations and Ethical Compliance Regulatory Framework for Managing Conflicts of Interest Resource: Importance, Regulations and Ethical Compliance, and Ethical Challenges Resource: Introduction and Core Principles Resource: Overview and Types of Conflicts of Interest Resource: Regulatory Framework, Impacts, and Best Practices for Managing Conflicts of Interest Types of Conflicts of Interest

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