CSBS BAI Course Catalog

Compliance Officer

Complaint Management

Compliance Officer: Complaint Management 15 minutes This course provides an overview of the role of compliance in creating a strong complaint management program. It addresses the components of an effective complaint management program, the importance of identifying and analyzing trends in complaints, and how complaints should be addressed and responded to. Compliance Management 15 minutes Intended for compliance officers, this course provides an overview of compliance management systems (CMS), including what is needed in a CMS, how it should be adapted for your institution, and who should be involved in creating an effective one. Compliance Officer: Compliance Management System

Enterprise Risk Management

Compliance Officer: Risk Management 20 minutes Intended for compliance officers, this course provides an overview of the responsibilities involved in risk management, including compliance, legal, and reputational risk. The course addresses who is on the risk management committee, its policies and procedures, and vendor management.

Examination Management

Compliance Officer: BSA Examination Management 25 minutes This course provides an overview of the compliance officers responsibilities in preparing the institution for a BSA examination, including the components of an institution's BSA and OFAC programs, preventive measures, and the risks of non-compliance. 30 minutes This course addresses the role of the CRA officer in CRA exam readiness, including the components of a CRA program, best practices for each employee’s role, the ways institutions are evaluated, and the risks of non compliance. 25 minutes This course addresses the compliance officer’s role in fair lending exam readiness, including the components of a fair lending program and UDAAP, preventive measures, and the risks of non-compliance. This course includes: Reg B. 20 minutes This course provides an overview of the compliance officer’s responsibilities in ensuring that the financial institution is ready for examination. The course addresses the resources available when preparing for an examination, an overview of the exam process, and the importance documentation and its role in the exam. Compliance Officer: CRA Examination Management Compliance Officer: Fair Lending Examination Management Compliance Officer: General Examination Management

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