Training that works.
Training you can afford.

Memorizing the reg is fine. Learning the principles of compliance is much better.

Critical Components of Compliance Training.

Training has two critical components. First, to make sure that updates and changes to the regulation are communicated and put in force. Second, to make sure that your program is finding and remediating weakness. We have found that training is a very good way to learn the difference between what you think the staff is doing and what is actually happening in front of the customer.

Effective training involves the entire bank, from the directors all the way down. Good training programs accommodate the different demands a particular job description places on bank employees and their managers. In addition, there are a variety of available tools that can be combined to lower costs and improve effectiveness. Some are online. Some are “applications” that can be purchased and developed off-site.

Want to know more? Here’s how to get the ball rolling:

  1. Call to discuss your needs and to obtain our Certificate of Non-Disclosure and Privacy Agreement.
  2. If we’re only spit-balling, than skip Step 3. We don’t charge for conferences or to share our experience.
  3. Review our Fee Proposal. If it is acceptable, go to next step. NOTE: depending upon the circumstances, not all information request may be necessary. The rule of thumb: if you’re paying us, we want as much information as possible. If we’re just talking, then less information may be forthcoming.
  4. Provide some information for our discussion session. Some, all or none of the below maybe appropriate.
    • Summarize examination comments (positive and negative) along with examiner recommendations and send those to us. Include in your summary both the written comments as well as any oral communication that took place. NOTE: we may not need to see copies of the actual comments; we can always review with a GoToMeeting session.
    • Gather up your current policy and procedures along with any documents you use to open accounts or perform the work. You can scan and email to our secure portal or fax them to us.
    • Gather your current reports you are using now to manage compliance.
    • Summarize your current monitoring efforts; provide copies of reports used.
  5. We’ll send you a checklist you can use to help us understand the specifics of how you operate this part of the bank and how you are managing the compliance piece.
  6. We’ll send you the “prelim” policy and procedure in a MS WORD format to review and revise.
  7. We’ll schedule a follow-up phone conference to review your changes.
  8. We’ll send the revised Policy and Procedure.
  9. You provide credit card for our billing. (Payment by ACH and/or check is also acceptable.)


Teach your institution to “think compliance.

Good training means your bank will learn to “think compliance” by learning principles, not just facts — facts can always be looked up online. Principles are harder.

Maybe you should call us and talk it over. Here’s the number: 800-544-8269.