Compliance Training

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Compliance management training courses …

… accessible and effective training that enables staff at all levels to stay current

Continuously updating staff knowledge and skills in compliance management is essential.  That means delivering new and refresher training to the community of compliance professionals as well as staff in other roles where compliance is an important element.

With the global move towards tighter financial regulation, it is now even more important that financial institutions are 100% sure that their staff have had, and are actively using, appropriate compliance skills training. This is made more difficult by the fact that many people see mandatory compliance training as a chore.

That’s where we come in.  At Consultancy Matters we are highly experienced in actually running staff teams in highly regulated businesses. This has enabled us to develop a training approach that makes new knowledge and skills interesting to acquire for staff at all levels.  Coupled with our global view of the regulatory compliance landscape, we can make sure that client staff are fully equipped with the most relevant and up-to-date information in a highly understandable and memorable way.

After experiencing training with Consultancy Matters our clients find that their staff see regulatory compliance as an important and integral part of doing business and not as a necessary evil.

We provide knowledge and skills training in regulatory compliance areas for both ‘ordinary’ staff as well as specialists, such as Compliance Officers or Regulatory Risk Officers.

Compliance Management Training Programs

Consultancy Matters offers compliance training courses specifically designed for and tailored to your institutions needs and risk profile.  Our courses are comprised of online offerings as well as classroom and workshop models.  The courses highlight key laws, regulations, industry standards and best practices; while integrating your internal policies, procedures, systems and internal controls.  Our team of seasoned professionals includes former regulators and recognized industry experts.  We have had success in meeting the compliance training needs of organizations of all sizes, including small community banks and large multinational financial institutions.

Our suite of course offerings can help you meet annual  and regulatory compliance training requirements and covers;

  • Anti-Money Laundering and Terrorist Financing
    • Courses that help ensure compliance with the Bank Secrecy Act (BSA), as amended by the USA PATRIOT Act, such as:
      • Customer Identification Program (CIP)
      • Due Diligence and Enhanced Due Diligence (or Know Your Customer  KYC)
      • Transaction Monitoring
      • Identification and Investigation of Potential Suspicious Activity
      • Suspicious Activity Reporting (SAR)
      • Sanctions and Office of Foreign Assets Control (OFAC)
      • AML Compliance Monitoring and Testing Programs
      • AML Training Programs
      • AML Audit Programs
      • Enterprise Wide AML Risk Assessment
    • Courses that address high risk areas that are subject to increased regulatory scrutiny, such as:
      • Foreign Correspondent Banking (FCB)
      • Private Banking, including risk management of Politically Exposed Persons (PEP) or Senior Foreign Political Figures (SFPF)
      • Money Service Businesses (MSB)
      • Non-Governmental Organizations (NGO) and Charities
      • International Cash Letter
      • Trade Finance
  • Consumer Protection
    • Courses are available that address regulations surrounding deposit and lending products, including:
      • Electronic Funds Transfer and Automated Clearing House Transactions
      • Fair Lending and Anti-Predatory Lending
      • Home Mortgage Disclosure Act (HMDA)
      • Truth in Lending (TILA)
      • Real Estate Settlement Procedures Act (RESPA)
      • Fair Debt Collection Practices Act (FDCPA)
      • Expedited Funds Availability
      • Truth in Savings Act (TISA)
      • Flood Disaster Protection Act (FDPA)
      • Fair Credit Reporting Act (FCRA)
  • Other Compliance Areas
    • A range of courses aimed at compliance areas not covered above, including:
      • Community Reinvestment Act  (CRA)
      • Anti-tying
      • Transactions with Affiliates
      • Foreign Corrupt Practices Act (FCPA)
      • Mortgage Fraud
      • Privacy
  • Managing Regulatory Relationships and Regulatory Examinations Workshop
    • An interactive, hands-on workshop tailored to your institution and your specific regulatory requirements, designed to:
      • Increase regulatory awareness
      • Foster productive relationships with regulators and examiners
      • Develop skills and provide tools necessary to ensure a successful and organized regulatory review

Each training program will be specifically tailored to better meet client needs taking into account their market focus, organizational structures, trading policies and processes and the regulatory landscape.  Highly relevant real-world case histories will be used to improve learning outcomes.

To complement the above, a range of ‘soft’ skills training is available as well, including people management, leadership and coaching/mentoring competencies. More …

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