A tailored course, built for your situation
Mastering FFIEC Compliance for Financial Services Leaders
A structured path to authoritative decision-making in regulatory strategy and implementation
$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.
Staying ahead of regulatory scrutiny while driving technical and vendor decisions
The situation this course is for
Regulatory expectations are no longer reactive, they're embedded in design choices, vendor contracts, and architecture reviews. The cost of lagging isn't just penalties; it's losing influence over the direction your team takes.
Who this is for
Senior compliance and risk leaders in financial services who own vendor selection, technical controls, and policy alignment under federal guidance
Who this is not for
Entry-level analysts, auditors preparing for certification exams, or teams outside regulated financial institutions
What you walk away with
- Navigate FFIEC examination priorities with confidence when selecting or replacing technology vendors
- Lead technical control design discussions with precise reference to current FFIEC IT Handbook sections
- Anticipate examiner focus areas in cybersecurity, third-party risk, and governance documentation
- Document decision rationale that aligns with regulatory expectations and internal audit standards
- Become the internal reference point when strategic changes touch compliance-critical systems
The 12 modules (with all 144 chapters)
Module 1. FFIEC Examination Process Overview
Understand the structure, frequency, and focus areas of FFIEC-led reviews as they apply to financial institutions.
12 chapters in this module
- Introduction to the FFIEC and its member agencies
- Key differences between CFPB, FDIC, and OCC enforcement priorities
- How examination cycles are scheduled and triggered
- Understanding the Uniform Data System for Banks
- Roles of the IT Examination Handbook in audit prep
- What triggers a focused review versus a full-scope assessment
- How risk ratings are assigned across business lines
- Preparing for coordinated multi-agency oversight
- Institution size and complexity impact on review depth
- Examiner documentation expectations by tier
- Understanding supervisory highlights reports
- Common misconceptions about FFIEC enforcement authority
Module 2. Governance Frameworks in FFIEC Context
Align internal governance models with FFIEC expectations for board and senior management oversight.
12 chapters in this module
- Mapping internal governance to Part 364 requirements
- Executive accountability under FFIEC guidance
- Documenting strategic risk oversight responsibilities
- Frequency of reporting to senior leadership
- Integrating compliance into business unit planning
- Managing cross-functional accountabilities
- Role of internal audit in validating governance
- Maintaining oversight during leadership transitions
- Using risk appetite statements to guide execution
- Tracking governance updates across regulatory cycles
- Linking KRIs to executive dashboards
- Documenting escalation procedures for control failures
Module 3. Vendor Risk Management Under SR 13-19
Implement a defensible, scalable methodology for managing third-party relationships in line with regulatory guidance.
12 chapters in this module
- Scope definition for third-party risk programs
- Classification of vendors by criticality and access level
- Due diligence requirements by vendor type
- Review cycles for ongoing monitoring
- Contractual terms that satisfy regulatory expectations
- Right-to-audit clauses and examiner access
- Offshore and cloud-based vendor considerations
- Managing multi-vendor ecosystems
- Incident response coordination with third parties
- Exit planning and knowledge retention
- Reporting vendor performance to governance bodies
- Benchmarking vendor controls against FFIEC expectations
Module 4. Information Security and the FFIEC IT Handbook
Apply the latest FFIEC IT Handbook guidance to strengthen technical controls and security architecture.
12 chapters in this module
- Overview of the FFIEC IT Handbook structure
- Mapping control domains to NIST CSF functions
- Authentication and access control expectations
- Secure configuration of network devices
- Endpoint protection and mobile device standards
- Data classification and encryption requirements
- Logging, monitoring, and alerting thresholds
- Vulnerability management and patch cadence
- Penetration testing scope and frequency
- Cloud security control mappings
- Zero trust adoption in regulated environments
- Incident response playbooks aligned with FFIEC
Module 5. Cybersecurity Examination Benchmarks
Use current FFIEC cybersecurity assessment methodology to anticipate and prepare for exam focus areas.
12 chapters in this module
- Understanding the Cybersecurity Assessment Tool structure
- Inherent risk profile scoring methodology
- Security control maturity ratings
- Sector-specific risk factors for financial services
- How examiners interpret control gaps
- Documenting compensating controls effectively
- Reporting on cyber risk to senior leadership
- Integrating threat intelligence into risk scoring
- Preparing for red team and purple team exercises
- Aligning with CISA directives and joint advisories
- Tracking emerging threats in examiner briefings
- Updating cyber posture after M&A activity
Module 6. Business Continuity and Resilience Planning
Design continuity plans that meet FFIEC expectations for operational resilience.
12 chapters in this module
- Defining critical operations for BCP coverage
- Establishing recovery time and point objectives
- Testing requirements for critical systems
- Third-party dependencies in BCP design
- Cloud provider failover expectations
- Customer communication during outages
- Regulatory reporting obligations during incidents
- Documenting alternate processing sites
- Integrating pandemic response scenarios
- Review cycles and update triggers
- Coordination with public relations teams
- Auditing BCP effectiveness post-event
Module 7. Data Privacy and GLBA Compliance
Integrate Gramm-Leach-Bliley Act requirements into privacy programs and customer data handling.
12 chapters in this module
- Scope of nonpublic personal information under GLBA
- Safeguards Rule implementation timeline
- Privacy Notice content and delivery standards
- Opt-out rights and customer choice mechanisms
- Vendor compliance with privacy provisions
- Data minimization and retention policies
- Breach notification thresholds and timing
- Internal audit of privacy practices
- Cross-border data transfer considerations
- Customer service implications of privacy rules
- Training staff on privacy handling protocols
- Updating privacy programs in response to exam feedback
Module 8. Consumer Compliance in Digital Channels
Ensure digital banking, mobile apps, and online services comply with fair lending and accessibility standards.
12 chapters in this module
- Application of ECOA and Regulation B in digital onboarding
- Accessibility standards for mobile and web platforms
- Fair lending risk in algorithmic decisioning
- Disclosures in electronic format compliance
- Error resolution processes for digital transactions
- Monitoring customer complaints for trends
- Chatbot and AI assistant compliance risks
- Omnichannel consistency in consumer messaging
- Record retention for digital interactions
- Agent authentication and identity proofing
- Handling joint accounts and authorized users
- Compliance testing for new digital features
Module 9. Risk-Based Examination Scoping
Anticipate how examiners tailor review focus based on institutional risk profiles.
12 chapters in this module
- How risk ratings drive examination depth
- Asset size and complexity thresholds
- Geographic concentration risk factors
- Product mix and innovation velocity impact
- Past supervisory history weighting
- Third-party reliance as a risk amplifier
- Cyber threat exposure and control maturity
- Governance turnover and leadership stability
- Regulatory change adoption speed
- Incident frequency and severity trends
- Customer complaint volume indicators
- Benchmarking against peer institutions
Module 10. Regulatory Change Management
Establish a repeatable process for tracking, assessing, and implementing new compliance requirements.
12 chapters in this module
- Monitoring for Federal Register notices
- Triage process for regulatory updates
- Impact analysis by business unit
- Cross-functional change coordination
- Updating policies and procedures systematically
- Staff training rollout timelines
- Documentation of implementation evidence
- Internal audit verification steps
- Vendor communication during transitions
- Rollback planning for unintended consequences
- Reporting completion to governance committees
- Maintaining change logs for exam readiness
Module 11. Examination Response and Evidence Prep
Streamline the process of responding to examiner requests with accurate, complete documentation.
12 chapters in this module
- Understanding request types and urgency levels
- Assigning ownership for response drafting
- Review and approval workflows
- Version control of submitted documents
- Redaction and confidentiality handling
- Coordinating with legal counsel
- Scheduling examiner meetings and walkthroughs
- Preparing subject matter experts for interviews
- Tracking open issues and follow-ups
- Maintaining response archives
- Using templates to accelerate future responses
- Post-exam review and gap closure planning
Module 12. Strategic Influence Through Compliance Leadership
Transform compliance expertise into influence over vendor selection, technical direction, and policy evolution.
12 chapters in this module
- Positioning compliance as strategic enablement
- Engaging early in vendor and technology decisions
- Providing actionable input to architecture boards
- Shaping policy direction with precedent examples
- Building credibility through consistent delivery
- Communicating risk trade-offs to business leaders
- Documenting decision rationale for audit trails
- Mentoring junior staff to amplify reach
- Presenting to cross-functional leadership
- Contributing to enterprise risk frameworks
- Representing compliance in M&A integrations
- Advancing career impact through thought leadership
How this maps to your situation
- Vendor onboarding delays due to compliance review
- Upcoming examination cycle for core banking systems
- Adoption of cloud infrastructure with regulatory implications
- Executive-level focus on operational resilience
Before vs. after
Before
Compliance decisions are reactive, fragmented, and viewed as overhead
After
Compliance leadership drives vendor, technical, and policy outcomes with clear rationale and executive alignment
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 90 minutes per module, designed for flexible completion over three to four weeks.
If nothing changes
Without a structured approach, compliance remains a bottleneck rather than a source of strategic influence, leading to delayed initiatives, increased scrutiny, and missed opportunities to shape direction.
How this compares to the alternatives
Unlike generic compliance overviews or certification prep courses, this program is tailored to senior leaders who must influence decisions under FFIEC oversight, not just pass exams or check boxes.
Frequently asked
Who is this course designed for?
Senior compliance, risk, and technology leaders in financial services who influence vendor selection, control design, and policy evolution under FFIEC oversight.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Is this course technical or strategic?
It bridges both, providing technical depth on FFIEC expectations while showing how to apply that knowledge to gain influence in strategic conversations.
$199 one-time. Approximately 90 minutes per module, designed for flexible completion over three to four weeks..
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