CSBS BAI Course Catalog

Compliance

Compliance Officer: Regulators and Regulations 20 minutes Intended for compliance officers, this course provides an overview of how financial institutions are organized and the federal regulations and regulatory bodies involved in financial services. 20 minutes Intended for compliance officers, this course provides learners with an understanding of their role in creating and adhering to a culture of compliance to mitigate regulatory risk. 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. Enterprise 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 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. Compliance Officer: Roles and Responsibilities of Compliance Compliance Officer: Complaint Management Compliance Officer: Compliance Management System Compliance Officer: Risk Management Compliance Officer: BSA Examination Management Compliance Officer: CRA Examination Management

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