A tailored course, built for your situation
Direct Oversight of Basel III Compliance Deliverables
Own the high-stakes regulatory outputs that define capital risk leadership
$199 one-time
24-hour access provisioning
30-day money-back guarantee
Hand-built implementation playbook
12 modules. 12 chapters per module. 144 chapters total.
12 modules, each with 12 chapters (144 chapters total), text-based, plus downloadable templates and a hand-built implementation playbook delivered alongside course access.
Getting pulled into late-stage reviews with insufficient context or ownership
The situation this course is for
High-impact regulatory deliverables often get bottlenecked across teams, leaving key practitioners without clear ownership or authority, resulting in rework, diluted accountability, and missed leadership visibility.
Who this is for
Senior risk and compliance leaders in global financial institutions responsible for Basel III implementation, capital reporting, and regulatory engagement
Who this is not for
Entry-level analysts, auditors focused only on testing controls, or practitioners outside banking regulation
What you walk away with
- Lead end-to-end ownership of Basel III compliance artefacts including ICAAPs and Pillar 3 reports
- Gain first-pick status for regulator-facing deliverables and internal escalation packages
- Build repeatable templates for capital adequacy narratives that reduce cycle time
- Strengthen cross-functional alignment with finance, audit, and control teams
- Demonstrate direct accountability for frameworks that reduce supervisory risk
The 12 modules (with all 144 chapters)
Module 1. Foundations of Basel III Capital Framework
Understand the structure, intent, and enforcement mechanisms of Basel III, with focus on U.S. implementation and global divergence points.
12 chapters in this module
- Origins of Basel III post-crisis
- Key pillars: capital, leverage, liquidity
- U.S. regulatory adoption timeline
- Differences from Basel I and II
- Role of Federal Reserve oversight
- Internal vs external reporting scope
- Pillar 1 minimum requirements
- Pillar 2 supervisory review process
- Pillar 3 market discipline
- Capital adequacy ratios explained
- Tier 1 and Tier 2 capital treatment
- Countercyclical buffers and surcharges
Module 2. ICAAP Development and Review
Master the design and validation of Internal Capital Adequacy Assessment Processes used in regulatory submissions.
12 chapters in this module
- Defining ICAAP scope and governance
- Stress testing integration
- Scenario design best practices
- Capital projection modeling
- Reverse stress testing
- Documentation standards
- Regulatory expectations by jurisdiction
- Linking ICAAP to business strategy
- Peer benchmarking data sources
- Internal audit readiness
- Common regulatory findings
- Remediation tracking
Module 3. Pillar 3 Disclosure Requirements
Learn how to prepare and validate public disclosures that meet SRP and FR Y-9C standards with precision.
12 chapters in this module
- Disclosure framework overview
- FR Y-9C filing components
- Public vs internal reporting
- Transparency vs confidentiality
- Leverage ratio disclosures
- Supervisory leverage ratio
- Supplementary leverage ratio
- Off-balance sheet exposures
- Derivatives notional exposure
- Credit valuation adjustment
- Disclosure timing and cycle
- Review and sign-off workflow
Module 4. Stress Testing Narratives
Develop clear, defensible narratives that explain stress test outcomes to regulators and internal stakeholders.
12 chapters in this module
- DFAST and CCAR context
- Scenario interpretation
- Loss estimation methods
- Revenue shock modeling
- Pre-provision net revenue
- Balance sheet assumptions
- Capital action planning
- Model validation inputs
- Governance documentation
- Narrative structure best practices
- Regulator Q&A preparation
- Peer comparison benchmarks
Module 5. Regulatory Escalation Management
Handle incoming requests from regulators with structured playbooks and clear ownership pathways.
12 chapters in this module
- Types of regulatory inquiries
- Initial triage protocol
- Ownership assignment matrix
- Response drafting standards
- Internal review cycle
- Legal and compliance alignment
- Time-bound escalation paths
- Document retention rules
- Follow-up tracking system
- Cross-border inquiry handling
- Regulator tone analysis
- Lessons from past exams
Module 6. Control Ownership in Capital Frameworks
Clarify accountability across risk, finance, and operations for Basel III-related controls.
12 chapters in this module
- Three lines of defense model
- Control owner definition
- RACI mapping for capital processes
- Testing frequency standards
- Deficiency remediation
- Management attestation
- Audit trail requirements
- Control self-assessment
- Integration with ORM tools
- Escalation to senior management
- Documentation retention
- Cross-jurisdiction alignment
Module 7. ICAAP to Regulatory Submission Flow
Map the end-to-end journey from internal analysis to formal regulatory filing.
12 chapters in this module
- Data sourcing strategy
- Model validation checkpoints
- Internal sign-off sequence
- Legal review integration
- Submission formatting
- Federal Reserve portal use
- Filing deadlines calendar
- Version control protocol
- Change tracking system
- Post-submission follow-up
- Regulator feedback loop
- Annual update planning
Module 8. Cross-Functional Alignment Playbook
Align risk, finance, legal, and audit teams around shared Basel III deliverables.
12 chapters in this module
- Stakeholder identification
- Meeting cadence design
- Issue escalation paths
- Decision log maintenance
- Conflict resolution protocol
- Shared document repository
- Status reporting rhythm
- Change notification rules
- Onboarding new members
- Role clarity workshops
- Feedback collection system
- Performance tracking
Module 9. Audit-Ready Documentation Standards
Produce artefacts that pass internal and external audit scrutiny without rework.
12 chapters in this module
- Audit evidence hierarchy
- Document naming convention
- Version control method
- Metadata tagging
- Retention period rules
- Access control policy
- Review trail logging
- Approval workflow
- Exception handling
- Gap analysis template
- Remediation tracking
- Lessons learned archive
Module 10. Capital Planning Integration
Integrate capital adequacy assessments into business planning and strategy cycles.
12 chapters in this module
- Strategic capital allocation
- Dividend planning linkage
- Share buyback implications
- M&A capital impact
- New market entry costs
- Business line profitability
- Stress test integration
- Forward-looking capital view
- Board-level summary prep
- Executive presentation
- Scenario planning
- Capital contingency planning
Module 11. Vendor and Third-Party Oversight
Manage external providers involved in Basel III modelling and reporting.
12 chapters in this module
- Vendor selection criteria
- Contractual obligations
- Service level agreements
- Model validation support
- Data security standards
- Onsite access rules
- Audit rights
- Performance monitoring
- Exit planning
- Subcontractor oversight
- Regulatory inquiry readiness
- Incident response
Module 12. Continuous Improvement Framework
Build a feedback loop that improves Basel III compliance over time.
12 chapters in this module
- Post-cycle review process
- Lessons learned capture
- Process gap identification
- Automation opportunities
- Tooling upgrade path
- Training needs assessment
- Benchmarking against peers
- Regulator feedback analysis
- Internal audit findings
- Change management
- Roadmap development
- Leadership reporting
How this maps to your situation
- Preparing for regulator-facing review
- Leading ICAAP development cycle
- Responding to internal escalation
- Aligning cross-functional teams
Before vs. after
Before
Reactive participation in Basel III processes with limited ownership of final outputs
After
Proactive leadership of high-impact regulatory deliverables with clear accountability and streamlined execution
What's included with your purchase
- 12 modules with 12 chapters each (144 chapters)
- Downloadable templates and worked examples for every module
- Hand-built implementation playbook delivered alongside course access
- 30-day money-back guarantee
Delivery and format
- Course and learning environment access provisioned within 24 hours of purchase
- Hand-built implementation playbook delivered alongside course access
Format: Text-based modules and chapters in the Art of Service learning environment, plus downloadable templates and worked examples for every chapter, plus the hand-built implementation playbook delivered alongside course access.
Time investment: Approximately 3 hours per module, designed for completion over 6-8 weeks with flexibility for on-demand access.
If nothing changes
Without structured ownership, critical compliance work remains vulnerable to delays, rework, and missed leadership opportunities , even when technical accuracy is achieved.
How this compares to the alternatives
Unlike generic compliance courses, this program focuses exclusively on actionable Basel III deliverables used in global banking institutions, with templates and workflows tailored to senior practitioner needs.
Frequently asked
Who is this course designed for?
Senior risk, compliance, and capital planning leaders in global banks responsible for Basel III implementation and regulatory engagement.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Are there any live sessions or videos?
No. The course is entirely text-based with downloadable templates and a custom implementation playbook.
$199 one-time. Approximately 3 hours per module, designed for completion over 6-8 weeks with flexibility for on-demand access..
Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.
30-day money-back guarantee·
144 chapters·
Hand-built playbook included·
Account access within 24 hours