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Executive Leadership Training Matrix (by Topic)

Updated over 3 weeks ago

This matrix outlines all Must Know compliance training for Executive Leadership, organized by Topic.

Anti-Money Laundering (AML)

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

Bank Secrecy Act (BSA)

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

Office of Foreign Assets Control (OFAC)

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

Fair Lending

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

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

Training Priority	Step Titles
Must Know	Resource: GLBA, CCPA and Consumer Privacy Key Privacy Regulations Implementing Privacy Best Practices Challenges in Privacy Management
Nice to Know	Historical Context of Privacy Regulations Privacy Overview 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 Overview Overview of Relevant Regulations Regulation E: Scope and Purpose Resource: Overview of Regulations and Deposit Compliance Requirements
Nice to Know	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) Regulation CC: Scope and Purpose Regulation CC: Requirements for Financial Institutions Regulation CC: Next-Day Availability Deposits Garnishment Rule: Part 1 Garnishment Rule: Part 2 Check 21 Resource: Garnishment Rule Resource: Collection of Checks Mastery Test: Regulation CC: Availability of Funds and Collection of Checks Act Mastery Test: Deposit Compliance, Regulation D, and Regulation DD Mastery Test: Regulation E and Garnishment Rule

Cybersecurity

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

U.S. Regulators

Training Priority	Step Titles
Must Know	FinCEN's Scope and Mission

Code of Ethics

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

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