Compliance Officer Program


Compliance Officer Program


Compliance Officer Program is designed to teach a practical understanding of regulatory compliance needs. The program covers subject areas and utilises a variety of training techniques. The key areas of the curriculum include understanding the regulatory environment, who is responsible for compliance, the role of corporate governance and ethics in compliance programs, and the implementation of compliance programs. The emphasis will be on practical and pragmatic approaches, rather than theoretical.

Course Details
  • Cybercrime Essentials for Financial Institutions
Duration: 15 Min                                                       Code: 20360
If you don’t know how to protect yourself, cybercrime can cost your institution millions of dollars each year. Upon completion of this course, users will be able to explain how the cyber black market operates and just how much cybercrime affects an organization’s bottom line. In addition, users will recognize how sensitive information is compromised and identify 10 ways to protect themselves and their organization.
  • Data and Records Retention Essentials for Financial Institutions
Duration: 30 Min                                                       Code: 20370
Upon completion of this course, you’ll be able to determine why we retain certain types of data, identify the type of records to retain, where to retain them, and the duration they should be retained. In addition, you’ll be able to describe the types of destructible data and proper destruction methods.

  • Hot Topics: Dodd-Frank Update
Duration: 30 Min                                                       Code: HT2011Q4
This course is first in a series of “Hot Topics” courses designed to keep financial institution staff up-to-date on the quickly changing regulatory landscape. This particular course addresses the impact that the Dodd-Frank Act has had, and is having at its one-year point, and the agencies tasked with carrying out its provisions.

  • Internet Security Essentials for Financial Institutions
Duration: 30 Min                                                       Code: 20365
Utilizing the internet in some form is an essential part of most business activity. Understanding the risks and how to be secure in using the internet reduces the likelihood of an information security breach. Upon completion of this course, users will have a better understanding of the vulnerabilities inherent in “Web 2.0” technologies, protective measures that you can utilize and how to access the internet with greater safety and security.
  • Preventing Identity Theft
Duration: 30 Min                                                       Code: 20327
The best way to solve the problem of identity theft is to prevent it from happening at your financial institution. A keen understanding of information security guidelines can protect your customers, your institution and your institution’s reputation.
This course can help your financial institution become proactive regarding the following topics:
ü  The definition of identity theft
ü  Which types of customer information to protect
ü  How to detect identity theft
ü  Common scams and how to prevent identity theft in six steps with the S.E.C.U.R.E. method
  • Privacy Compliance: Protecting Consumer Financial Information
Duration: 120 Min                                                     Code: 20033
The mounting focus on consumer privacy resulted in the Gramm-Leach-Bliley Act. Effectively handling, disclosing, and safeguarding nonpublic personal information protects not only consumers and customers, but your institution. This in-depth course provides thorough coverage of privacy terms and definitions (consumer vs. customer, nonpublic personal information, opting out), explanations of how to establish a privacy compliance program, and tips on how to construct accurate disclosure statements.

  • SAR: Be on Guard
Duration: 30 Min                                                       Code: 20083
This course provides frontline employees with examples of situations that warrant the completion of a SAR. This course also briefly covers the five separate parts of SAR and how to correctly file the report.
  • UDAAP: An Overview
Duration: 45 Min                                                       Code: 20380
The concept of UDAAP (Unfair, Deceptive, or Abusive Acts or Practices) has the potential to completely alter the traditional understanding of regulatory compliance and can affect nearly every aspect of your organization. This course will look explore what it means to be “abusive”, possible acts or practices that would now be considered abusive under this new standard, and identify steps you can take now to minimize your UDAAP risk.
  • Understanding OFAC
Duration: 30 Min                                                       Code: 20031
OFAC’s primary tenet is don’t do business with the enemy. Out of this basic principle, OFAC holds the financial institution and its employees personally responsible for compliance. Learn the origin of OFAC, basic OFAC requirements, affected transactions, and consequences of noncompliance.
  • Understanding Privacy: The Essentials
Duration: 30 Min                                                       Code: 20301
The privacy regulations introduced by the Gramm-Leach-Bliley Act are generally regarded as some of the most difficult to understand. This short introductory program breaks down the regulations so tellers, new account reps and lenders can easily comprehend your institution’s privacy policy and accurately explain this policy to customers and consumers. Subjects covered include key terms and definitions, privacy notices, and consumers’ right to opt out and exceptions to this right.
Duration: 60 Min                                                       Code: 20087
This informative training program will familiarize you with the USA PATRIOT Act and how it affects your institution in fighting the battles on the financial frontlines. You will also learn the procedures for handling correspondent and private banking accounts, how to report suspicious activities and determine which types of information may be shared.


Course Dates for Compliance Officer Program


Feb 15, 2021


One month




$ 199.00