A tailored course, built for your situation
Reference of choice on FFIEC compliance architecture
Become the internal go-to practitioner for FFIEC-aligned controls and financial compliance design
$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.
Being seen as just another reviewer instead of the source of truth on compliance design
The situation this course is for
Compliance work often defaults to checklist execution. That leaves sharp practitioners under-leveraged, with their deeper understanding overlooked when real design decisions are made. The result? Duplicated effort, inconsistent interpretations, and missed opportunities to shape policy before it lands on desks.
Who this is for
Investment banking professional at a regulated financial institution who is increasingly responsible for compliance interpretation, control mapping, and cross-functional coordination under FFIEC and related guidance
Who this is not for
Entry-level analysts, auditors focused only on testing, or consultants outside the regulated banking environment
What you walk away with
- Lead FFIEC control mapping with confidence and consistency across teams
- Build a documented, reusable compliance playbook tailored to PNC's operating model
- Establish yourself as the first call for compliance interpretation in deal contexts
- Produce clear, source-backed narratives for examiners and internal reviewers
- Reduce rework by designing controls that meet both operational and examiner expectations
The 12 modules (with all 144 chapters)
Module 1. FFIEC Handbook Structure Deep Dive
Understand the organization and intent behind the FFIEC IT Examination Handbooks, with focus on the focal points for banking associates in transactional roles.
12 chapters in this module
- Handbook purpose and audience
- Role of the Operations Handbook
- Interpreting Risk Management sections
- IT Audit planning triggers
- Consumer compliance intersections
- FFIEC vs internal policy hierarchy
- Mapping guidance to deal lifecycle
- Identifying materiality thresholds
- Control expectations by asset size
- Regulatory change management process
- Using handbooks in vendor review
- Documenting compliance rationale
Module 2. Control Mapping for Transactional Banking
Translate FFIEC guidance into specific, defensible control statements relevant to investment banking workflows and deal execution.
12 chapters in this module
- From principle to control statement
- Designing for auditability
- Deal onboarding controls
- Client data handling thresholds
- System access in transaction systems
- Change management in live deals
- Documentation retention rules
- Segregation of duties examples
- Automated vs manual controls
- Risk rating control impact
- Control owner assignment
- Testing frequency benchmarks
Module 3. Compliance Narrative Development
Craft clear, concise, and authoritative responses to internal and regulatory inquiries grounded in FFIEC source material.
12 chapters in this module
- Structuring examiner responses
- Citing FFIEC sections correctly
- Writing for legal review
- Balancing transparency and risk
- Contextualizing exceptions
- Versioning compliance statements
- Creating reusable narrative blocks
- Explaining control gaps responsibly
- Translating technical detail
- Executive summary drafting
- Aligning with legal counsel
- Preempting follow-up questions
Module 4. Cross-Functional Alignment Techniques
Lead discussions with legal, risk, and operations teams using shared frameworks and common language from FFIEC guidance.
12 chapters in this module
- Mapping team responsibilities
- Facilitating control workshops
- Building shared documentation
- Resolving control ownership
- Negotiating implementation timelines
- Handling audit findings
- Escalating interpretation issues
- Creating joint playbooks
- Running tabletop exercises
- Tracking action items
- Measuring alignment progress
- Maintaining stakeholder trust
Module 5. Vendor Review and Third-Party Risk
Apply FFIEC standards to third-party due diligence, especially in fintech and SaaS relationships relevant to deal execution.
12 chapters in this module
- Third-party risk classification
- Assessing vendor compliance posture
- Reviewing SOC 2 reports
- Evaluating cloud provider assurances
- Contractual control requirements
- Right to audit clauses
- Penetration test validation
- Incident response coordination
- Subprocessor oversight
- Geographic risk factors
- Financial stability checks
- Vendor exit planning
Module 6. Data Protection and Privacy Controls
Implement FFIEC-aligned data safeguards for client information in transactional banking environments.
12 chapters in this module
- Defining sensitive data types
- Encryption in transit and at rest
- Access control policies
- Multi-factor authentication
- Data retention periods
- Client data portability
- Breach notification triggers
- PII handling standards
- Data loss prevention tools
- Logging access events
- Anonymization techniques
- Third-party data sharing
Module 7. Change Management and Configuration Control
Ensure compliance during system changes, particularly in deal management and client onboarding platforms.
12 chapters in this module
- Defining change thresholds
- Standard change vs emergency
- Approvals and documentation
- Testing change outcomes
- Backout planning
- Version control basics
- Automated deployment risks
- Production access rules
- Post-implementation review
- Audit trail maintenance
- Rollback procedures
- Stakeholder notification
Module 8. Business Continuity and Resilience Planning
Design operational resilience strategies aligned with FFIEC expectations for critical banking functions.
12 chapters in this module
- Identifying critical processes
- RTO and RPO definitions
- Disaster recovery testing
- Geographic redundancy
- Crisis communication plans
- Third-party continuity
- Incident command structure
- Recovery site validation
- Employee safety plans
- Regulatory reporting during outage
- Lessons from past incidents
- Updating BCP documentation
Module 9. Audit Preparation and Response
Lead internal and external audits with confidence by proactively organizing evidence and control narratives.
12 chapters in this module
- Audit planning cycle
- Document collection strategy
- Evidence retention standards
- Internal pre-audit reviews
- Responding to findings
- Root cause analysis
- Remediation tracking
- Follow-up timelines
- Working with examiners
- Avoiding repeat findings
- Audit communication tone
- Closing audit loops
Module 10. Regulatory Change Monitoring
Stay ahead of shifts in FFIEC guidance and related regulations affecting investment banking operations.
12 chapters in this module
- Tracking regulatory sources
- Subscribing to updates
- Assessing impact of changes
- Updating control mappings
- Communicating changes internally
- Training on new requirements
- Maintaining change logs
- Engaging with regulators
- Industry working groups
- Benchmarking against peers
- Updating risk assessments
- Reporting to leadership
Module 11. Compliance Automation Opportunities
Identify where FFIEC controls can be embedded in systems to reduce manual effort and increase consistency.
12 chapters in this module
- Mapping controls to tech stack
- Identifying automation candidates
- Working with engineering teams
- Designing control alerts
- Logging automated checks
- Testing automated controls
- Documentation for auditors
- Change management for automation
- Monitoring control health
- Alert fatigue mitigation
- Cost-benefit of automation
- Scaling compliance through code
Module 12. Building Your Compliance Playbook
Compile a personalized, reusable implementation guide that captures your expertise and institutional knowledge.
12 chapters in this module
- Structuring the playbook
- Including templates and examples
- Version control approach
- Access and permissions
- Onboarding new team members
- Integrating feedback loops
- Updating with new guidance
- Linking to other resources
- Presenting to leadership
- Gaining formal recognition
- Extending beyond your role
- Leaving a legacy
How this maps to your situation
- When preparing for an internal audit
- When onboarding a new fintech vendor
- When responding to regulatory inquiries
- When designing a new transaction workflow
Before vs. after
Before
Compliance inputs are reactive, scattered, and often require last-minute coordination across teams.
After
You lead with structured, source-backed frameworks and your peers proactively seek your input on FFIEC-aligned design.
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 to fit around deal cycles and peak periods.
If nothing changes
Without a structured approach, your expertise remains under-leveraged, others shape compliance narratives, and your influence stays limited to execution rather than design.
How this compares to the alternatives
Unlike generic compliance training, this course is tailored to investment banking associates who need to interpret FFIEC guidance in real deal contexts , not just pass a test, but become the reference point others rely on.
Frequently asked
Is this course specific to PNC policies?
No. It focuses on FFIEC frameworks and how to apply them in regulated banking environments like yours, without referencing internal documents or systems.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Can I share this with my team?
Each enrollment is for individual use. Team licensing is available upon request.
$199 one-time. Approximately 3 hours per module, designed to fit around deal cycles and peak periods..
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