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Executive Leadership Training Matrix (by Topic)

Updated over 2 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	Anti-Money Laundering (AML) 101 ~12 mins Resource: What is Anti-Money Laundering AML Defined AML Rules and Regulations Mastery Test: Anti-Money Laundering (AML) 101
Nice to Know	Anti-Money Laundering (AML) 102 ~16 mins Resource: The Three Stages of Money Laundering Stage 1: Placement Stage 2: Layering Stage 3: Integration The Lowdown on Money Laundering Mastery Test: Mastery Test: Anti-Money Laundering (AML) 102

Bank Secrecy Act (BSA)

Training Priority	Step Titles
Must Know	Bank Secrecy Act (BSA) 101 ~18 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: Background and History of the BSA Mastery Test: Bank Secrecy Act (BSA) 101
Nice to Know	Bank Secrecy Act (BSA) 102 ~12 mins 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 (BSA) 102

Office of Foreign Assets Control (OFAC)

Training Priority	Step Titles
Must Know	Office of Foreign Assets Control - OFAC ~24 mins Resource: OFAC Overview of OFAC Resource: Specially Designated Nationals and Responsibilities and Obligations Specially Designated Nationals (SDNs) Responsibilities and Obligations Resource: OFAC Authority The Ins and Outs of OFAC's Authority Mastery Test: OFAC
Nice to Know	Identifying Red Flags - OFAC ~34 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 Resource: OFAC's Settlement with Standard Chartered Bank OFAC's Settlement With Standard Chartered Bank Resource: Nature of Business, Origination of Funds, and Clients Red Flags: Nature of Business, Origination of Funds, and Clients Mastery Test: Identifying Red Flags

Fair Lending

Training Priority	Step Titles
Must Know	Fair Lending 101 ~18 mins Resource: Fair Lending Overview Fair Lending Overview Resource: Establishing a Fair Lending Program Preventing the Occurrence of Fair Lending Violations Fostering Fair Lending with Customers Mastery Test: Fair Lending 101
Nice to Know	Fair Lending 102 ~22 mins Resource: Fair Lending Discrimination Definitions Illegal Discrimination Overt Discrimination Disparate Illegal Discrimination Disparate Impact Discrimination Mastery Test: Fair Lending 102 Fair Lending 103 ~28 mins Resource: Predatory Lending and Redlining What is Predatory Lending How Predatory Lending Works What is Redlining How Redlining Works Resource: Establishing a Fair Lending Program 2 Factors Lenders May Consider Fair Lending Risk Factors Mastery Test: Fair Lending 103

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

Training Priority	Step Titles
Must Know	Gramm-Leach-Bliley Act (GLBA) / Consumer Privacy 101 ~16 mins Resource: GLBA, CCPA and Consumer Privacy Key Privacy Regulations Implementing Privacy Best Practices Challenges in Privacy Management Mastery Test: Privacy: GLBA, CCPA and Consumer Privacy 101
Nice to Know	Gramm-Leach-Bliley Act (GLBA) / Consumer Privacy 102 ~14 mins Resource: GLBA, CCPA and Consumer Privacy Historical Context of Privacy Regulations Privacy Overview Mastery Test: Privacy: GLBA, CCPA and Consumer Privacy 102

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 Deposit Compliance Overview Overview of Relevant Regulations Mastery Test: Deposit Compliance Overview, Regulation D, and Regulation DD 101
Nice to Know	Deposit Compliance, Regulation D, and Regulation DD 102 ~30 mins 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 102 Regulation CC: Availability of Funds and Collection of Checks Act ~16 mina Resource: Regulation CC: Availability of Funds Regulation CC: Scope and Purpose Regulation CC: Next-Day Availability Deposits Regulation CC: Requirements for Financial Institutions Resource: Collection of Checks Check 21 Mastery Test: Regulation CC: Availability of Funds and Collection of Checks Act Regulation E: Electronic Fund Transfers and Garnishment Rule ~ TBC Resource: Regulation E: Electronic Fund Transfers Regulation E: Scope and Purpose 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 ~14 mins Resource: Cybersecurity Cybersecurity Overview Key Cybersecurity Regulations Implementing Cybersecurity Best Practices Challenges in Cybersecurity Management Mastery Test: Cybersecurity 101
Nice to Know	Cybersecurity: Computer Security Basics 102 ~10 mins Resource: Cybersecurity The Evolution of Cybersecurity in Financial Institutions Cybersecurity Case Studies Mastery Test: Cybersecurity 102

Code of Ethics

Training Priority

Step Titles

Must Know

Code of Ethics

~15 mins

Resource: Introduction and Core Principles

Code of Ethics: Overview

Core Principles of a Code of Ethics

Resource: Importance, Regulations and Ethical Compliance, and Ethical Challenges

Mastery Step: Code of Ethics

Conflicts of Interest

~12 mins

Resource: Overview and Types of Conflicts of Interest

Overview: Conflicts of Interest

Resource: Regulatory Framework, Impacts, and Best Practices for Managing Conflicts of Interest

Regulatory Framework for Managing Conflicts of Interest

Mastery Test: Conflicts of Interest

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