solutions

Financial Services Product, Strategy,
and Compliance Courses

Investment Advisor Courses

Here is a sample of Investment Advisor training courses we have developed. These courses encompass a wide range of topics related to various investment products, strategies, and market considerations. This training aims to equip advisors with the knowledge and skills necessary to understand, recommend, and manage different types of investments effectively.

All courses can be customized to your policies, procedures, and guidelines, and can be refocused on country, roles or other criteria.

Product and Strategy Courses

• Clean Shares
• Introduction to Foreign Exchange
• Investing in Higher Yielding and Interest Rate Sensitive Products: Risks and Considerations
• Mutual Funds: Single Share Class in Brokerage Accounts
• Taxable Fixed Income Securities
• Alternative Investments
• Mutual Funds
• Futures
• Variable Annuities
• Concentrated Equity Solutions
• Municipal Bonds
• Understanding Futures Linked Securities
• IRA Rollover
• Options Overlay Strategies
• Options Trading
• Complex Options
• Closed-End Funds
• Understanding Credit-Linked Notes

Role-based Courses

• Institutional Consulting
• Retirement Plan Consulting Services
• Advisory Solutions
• Banking and Lending
• Integrated Risk and Capital Management
• Consolidated Advisory Program
  

Regulatory Compliance Training

Here is a sample of Regulatory Compliance courses we have developed. These courses focus on AML / BSA / Fraud concepts and specific regulations.

All courses can be customized to your policies, procedures, and guidelines, and can be refocused on country, roles or other criteria.

Regulatory Compliance - Concepts

• AML Key Concepts
• AML in Cryptocurrencies
• AML Model Validation
• AML Risk Management
• AML Red Flags
• BSA Best Audit Practices
• BSA Overview & Fundamentals
• BSA/AML/OFAC Risk Assessments
• BSA: Reporting Requirements
• Creating & Managing an Effective AML Compliance Program
• Currency Transaction Reports (CTRs)
• Digital Assets: AML Risks
• FinCEN: Overview and Purpose
• Fundamentals of CIP, CDD, EDD, CTR
• KYC: Overview
• OFAC: Sanctions
  
  

Regulatory Compliance - Regs

• Customer Protection
• Reg O
• Reg W
• Reg Y
• Reg Z
• Fair Lending: CRA, UDAAP, ECOA, FHA, TILA
• Customer Protection
• CFPB ABC Regulations: Regulation B, C, E, F, G, M, P, V, X, Z, DD
• CFPB Regulation E: Payroll Card Compliance, Preauthorized Transfer, Prepaid Account, Remittance Rule
• CFPB’s Final Rule on LIBOR Transtion: How to Prepare
• CFPB's Debt Collections Rules
• Regulatory Compliance on Deposits: TISA, EFA Act, Check 21, The Garnishment Rule
• Fair Debt Collection Practices Act (FDCPA)

ERM for Board and C-Suite

Here is a sample of ERM for Board and C-Suite. This module covers risk management and regulatory compliance for senior executives and board members. Participants will gain insights into the board's oversight role in Anti-Money Laundering (AML) programs, the responsibilities of the Board-Designated BSA Officer (BSAO), and the importance of senior audit executive engagement in ensuring effective risk management practices within financial institutions.

Let us develop a custom ERM for Board and C-Suite course for you.

All courses can be customized to your policies, procedures, and guidelines, and can be refocused on country, roles or other criteria.

Course: ERM for Board and C-Suite

Modules

• Board Oversight of the BSA AML Program
• The Board-Designated BSA Officer (BSAO)
• Senior Audit Executive Engagement