CSBS BAI Course Catalog

Compliance Topics

Executive Leadership: Asset Liability Management and Financial Risk 15 minutes This course addresses the role of executive leadership and the board of directors in managing the asset liability and financial risk of the institution. It discusses key areas of financial risk and considerations for an effective Asset/Liability Management (ALM) policy. 15 minutes Intended for executive leadership and members of the board of directors, this course addresses the importance of planning for disruption caused by natural and man-made disasters, including best practices for establishing a disaster recovery plan. 15 minutes Intended for executive leadership and the board of directors, this course provides an overview of the financial institution s responsibilities in complying with the Home Mortgage Disclosure Act (HMDA) and Community Reinvestment Act (CRA), including how the institution can find out data about its community and how to apply that data to the institution’s products and services. 15 minutes Intended for executive leadership and the board of directors, this course provides an overview of the components of an effective Compliance Management System (CMS) and addresses the board’s responsibilities in creating a culture of compliance throughout the institution. 15 minutes Intended for executive leadership and the board of directors, this course provides an overview of the structure of financial institutions and the key responsibilities of the institution’s executive leadership team. 15 minutes Intended for executive leadership and the board of directors, this course provides an overview of Regulation O and NCUA rules and regulations regarding credit and loans to insiders. It also identifies specific responsibilities of the board in ensuring compliance, including approving certain transactions, adhering to reporting requirements, and providing public disclosures upon request. 15 minutes Intended for executive leadership and members of the board of directors, this course provides an overview of how the safety and soundness of financial institutions is assessed, including a discussion of the Uniform Financial Institutions Rating System (UFIRS). The course also addresses the board’s role in managing the institution’s risk and any weaknesses. 15 minutes Intended for executive leadership and the board of directors, this course addresses best practices for creating a strategic plan for the institution, including setting goals, resource planning, and implementing a disaster recovery plan. Executive Leadership: Business Continuity and Operational Risk Executive Leadership: Community Responsibility Executive Leadership: Importance of Compliance Executive Leadership: Role of the Executive Leadership Executive Leadership: Rules and Regulations for Insiders Executive Leadership: Safety and Soundness Executive Leadership: Strategic Planning

26