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CMP5166 Mastering Basel III for Senior Compliance Specialists

$201.00
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What is the Basel III for Senior Compliance Specialists course about?

Compliance specialists in global banks routinely face compressed timelines to deliver accurate, cross-functional capital adequacy reports. These require coordination across risk, finance, and audit teams, often resulting in late-cycle fixes, version drift, and leadership escalations when narratives don’t align. The burden intensifies under dual regulatory pressure from DORA and EBA timelines.

What situation is the Basel III for Senior Compliance Specialists for?

Compliance specialists in global banks routinely face compressed timelines to deliver accurate, cross-functional capital adequacy reports. These require coordination across risk, finance, and audit teams, often resulting in late-cycle fixes, version drift, and leadership escalations when narratives don’t align. The burden intensifies under dual regulatory pressure from DORA and EBA timelines.

Who is the Basel III for Senior Compliance Specialists course for?

Senior Compliance Specialist at a global bank, responsible for cross-functional regulatory reporting and control validation under Basel III, DORA, and internal audit cycles.

What do you take away from the Basel III for Senior Compliance Specialists course?

Own end-to-end capital adequacy reporting with minimal rework Produce regulator-ready evidence packages in under 10 hours Lead cross-functional alignment on risk-weighted asset definitions Reduce leadership escalations during quarterly reporting windows Document a repeatable process that survives team turnover.

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.

What does the Basel III for Senior Compliance Specialists cover on delivery and format?

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 week over 12 weeks, designed for completion on weekends or quiet business hours.

How does this compare to the alternatives?

Unlike generic compliance courses, this program focuses specifically on Basel III capital adequacy reporting in global banks, with templates and workflows tailored to senior compliance specialists in institutions like the firm.

What does the Basel III for Senior Compliance Specialists cover on frequently asked?

Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.

Closely related courses: Basel III for Client Investigations Specialists, Basel III for Sr Specialist Workforce Optimization, Basel III for Senior Conduct Specialists in Global Banking, Basel III for Compliance Testing Specialists in Financial.

More answers: what you get with every course, refund policy, all help answers.

A tailored course, built for your situation

Mastering Basel III for Senior Compliance Specialists

A structured path to owning broader risk oversight in your current role

$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.
Quarterly capital reporting cycles consuming 80+ hours of rework and reconciliation

The situation this course is for

Compliance specialists in global banks routinely face compressed timelines to deliver accurate, cross-functional capital adequacy reports. These require coordination across risk, finance, and audit teams, often resulting in late-cycle fixes, version drift, and leadership escalations when narratives don’t align. The burden intensifies under dual regulatory pressure from DORA and EBA timelines.

Who this is for

Senior Compliance Specialist at a global bank, responsible for cross-functional regulatory reporting and control validation under Basel III, DORA, and internal audit cycles

Who this is not for

Entry-level compliance analysts, auditors focused solely on SOX, or consultants without direct experience in banking capital frameworks

What you walk away with

  • Own end-to-end capital adequacy reporting with minimal rework
  • Produce regulator-ready evidence packages in under 10 hours
  • Lead cross-functional alignment on risk-weighted asset definitions
  • Reduce leadership escalations during quarterly reporting windows
  • Document a repeatable process that survives team turnover

The 12 modules (with all 144 chapters)

Module 1. Basel III Core Structure and Bank-Specific Application
Understand the components of Basel III as applied in large multinational banks, focusing on capital ratios, risk-weighted assets, and leverage metrics relevant to the firm' operating model.
12 chapters in this module
  1. Understanding the three pillars of Basel III in practice
  2. Differentiating Basel II and Basel III capital treatment
  3. Role of national discretion under EBA implementation
  4. How CET1 ratios impact internal capital planning
  5. Treatment of operational risk under the new standardized approach
  6. Leverage ratio buffer requirements for G-SIBs
  7. Basel III’s impact on liquidity coverage ratios
  8. Key differences between US and EU Basel implementation
  9. Application of output floor rules to trading books
  10. Stress testing integration with capital adequacy reporting
  11. Treatment of cross-border exposures under Basel III
  12. Mapping Basel III requirements to internal risk frameworks
Module 2. Regulatory Reporting Workflow and Timelines
Break down the end-to-end process of capital adequacy reporting, including internal deadlines, stakeholder inputs, and version control across compliance, risk, and finance.
12 chapters in this module
  1. Identifying the start trigger for quarterly reporting
  2. Creating a master evidence tracker by control type
  3. Coordinating inputs from country-level risk teams
  4. Handling version conflicts in consolidated reporting
  5. Establishing SLAs with data source owners
  6. Managing dependencies on finance close cycles
  7. Integrating audit feedback into draft narratives
  8. Version control for multi-contributor reports
  9. Pre-review coordination with legal and tax teams
  10. Timeline compression techniques for tight cycles
  11. Handling last-minute regulator requests
  12. Post-submission evidence retention protocols
Module 3. Risk-Weighted Asset Calculation and Validation
Master the mechanics of calculating risk-weighted assets across credit, market, and operational risk, with templates for consistent classification and challenge.
12 chapters in this module
  1. Classifying exposures under standardized vs IRB approaches
  2. Applying risk weights to corporate lending portfolios
  3. Treatment of sovereign exposures in EU jurisdictions
  4. Handling off-balance-sheet commitments in RWA
  5. Validation of internal ratings used in IRB models
  6. Backtesting risk weight assignments for accuracy
  7. Treatment of collateralized transactions
  8. Adjustments for credit risk mitigation techniques
  9. Application of large exposure framework to RWA
  10. Cross-checking RWA calculations with finance data
  11. Common errors in SME portfolio classification
  12. Documentation standards for RWA assumptions
Module 4. Capital Adequacy Assessment and Gap Analysis
Learn how to assess current capital levels against minimum requirements and project forward under stress scenarios.
12 chapters in this module
  1. Calculating total eligible capital under Basel III
  2. Identifying non-qualifying instruments in capital stack
  3. Applying capital deductions for goodwill and intangibles
  4. Treatment of minority interests in capital calculation
  5. Projecting capital ratios under baseline scenarios
  6. Incorporating stress test outcomes into projections
  7. Identifying early warning indicators of capital shortfall
  8. Benchmarking against peer bank capital ratios
  9. Adjusting for dividend payout timing
  10. Modeling impact of new business initiatives on capital
  11. Scenario planning for M&A or divestitures
  12. Documenting capital planning assumptions
Module 5. Liquidity Coverage Ratio and Funding Profile
Master the components of LCR calculation and how to align funding strategy with regulatory liquidity requirements.
12 chapters in this module
  1. Defining high-quality liquid assets under Basel III
  2. Classifying cash inflows and outflows by counterparty
  3. Treatment of central bank facilities in LCR
  4. Managing concentration limits in HQLA portfolios
  5. Calculating net cash outflows under stress
  6. Validating assumptions in LCR projections
  7. Monitoring funding profile by maturity bucket
  8. Reporting intra-group funding dependencies
  9. Integrating LCR with ALM frameworks
  10. Handling currency mismatch in liquidity buffers
  11. Responding to regulator queries on LCR
  12. Maintaining LCR during market volatility
Module 6. Internal Capital Adequacy Assessment Process
Understand how ICAAP integrates with Basel III reporting and supports strategic decision-making.
12 chapters in this module
  1. Defining governance roles in ICAAP process
  2. Setting internal capital targets above minimums
  3. Integrating risk appetite into capital planning
  4. Documenting stress testing methodologies
  5. Aligning ICAAP with business strategy
  6. Reporting ICAAP outcomes to senior management
  7. Updating ICAAP for regulatory changes
  8. Validating model assumptions in capital projections
  9. Linking ICAAP to dividend and bonus decisions
  10. Handling internal audit review of ICAAP
  11. Benchmarking ICAAP practices across peer banks
  12. Maintaining ICAAP documentation for regulators
Module 7. Cross-Functional Alignment and Stakeholder Management
Build effective collaboration with risk, finance, and audit teams to ensure consistent capital reporting.
12 chapters in this module
  1. Establishing clear RACI for capital reporting
  2. Conducting pre-submission alignment sessions
  3. Resolving classification conflicts with risk teams
  4. Managing expectations from finance stakeholders
  5. Handling audit findings related to capital data
  6. Communicating changes to control owners
  7. Facilitating working group meetings
  8. Creating shared templates for evidence collection
  9. Tracking action items from cross-functional reviews
  10. Documenting decisions from alignment sessions
  11. Escalating unresolved issues to leadership
  12. Maintaining stakeholder contact logs
Module 8. Regulatory Evidence Collection and Documentation
Implement a systematic approach to gathering, validating, and storing evidence for Basel III compliance.
12 chapters in this module
  1. Identifying required evidence by control type
  2. Creating evidence collection checklists
  3. Validating completeness of submitted evidence
  4. Standardizing evidence naming and storage
  5. Linking evidence to specific regulatory clauses
  6. Handling evidence from external vendors
  7. Auditing evidence trails for consistency
  8. Managing version control for supporting documents
  9. Integrating evidence collection with GRC tools
  10. Training team members on evidence standards
  11. Responding to auditor requests for evidence
  12. Maintaining evidence retention schedules
Module 9. Audit Preparation and Review Cycle Management
Prepare effectively for internal and external audits of capital adequacy reporting.
12 chapters in this module
  1. Understanding auditor focus areas in Basel III
  2. Preparing for SOX 404 reviews of capital controls
  3. Responding to audit findings with corrective actions
  4. Maintaining issue logs for open findings
  5. Coordinating with external audit teams
  6. Preparing management response templates
  7. Tracking remediation deadlines
  8. Validating effectiveness of corrective actions
  9. Reporting audit status to compliance leadership
  10. Integrating audit feedback into next cycle
  11. Handling repeated findings
  12. Demonstrating continuous improvement
Module 10. Change Management and Regulatory Updates
Stay ahead of evolving Basel III requirements and implement changes efficiently.
12 chapters in this module
  1. Monitoring EBA and ECB regulatory updates
  2. Assessing impact of new guidelines on reporting
  3. Prioritizing implementation of changes
  4. Communicating changes to affected teams
  5. Updating control documentation
  6. Training stakeholders on new requirements
  7. Testing changes before implementation
  8. Documenting change approval process
  9. Integrating changes into reporting templates
  10. Tracking implementation status
  11. Reporting change readiness to leadership
  12. Maintaining change logs for auditors
Module 11. Automation and Efficiency in Compliance Reporting
Identify opportunities to automate repetitive tasks in capital adequacy reporting.
12 chapters in this module
  1. Mapping manual steps in current workflow
  2. Identifying automation candidates
  3. Using templates to standardize inputs
  4. Implementing validation rules in spreadsheets
  5. Integrating with data warehouses
  6. Creating dashboards for reporting status
  7. Automating data extraction from source systems
  8. Setting up alerts for deadline tracking
  9. Using version control systems for reports
  10. Documenting automation logic
  11. Training team on automated processes
  12. Maintaining automation documentation
Module 12. Sustaining Excellence and Knowledge Transfer
Ensure compliance knowledge is retained and shared across the team.
12 chapters in this module
  1. Documenting institutional knowledge
  2. Creating onboarding materials for new hires
  3. Conducting peer reviews of work
  4. Establishing knowledge sharing sessions
  5. Maintaining a central repository
  6. Updating documentation after each cycle
  7. Capturing lessons learned
  8. Mentoring junior team members
  9. Standardizing work practices
  10. Evaluating team performance
  11. Planning for staff absences
  12. Ensuring continuity during transitions

How this maps to your situation

  • Capital adequacy reporting under Basel III
  • Cross-functional evidence collection
  • Regulatory audit readiness
  • Internal capital planning process

Before vs. after

Before
Spending 80+ hours each quarter reconciling data, chasing inputs, and reworking capital adequacy reports under tight deadlines.
After
Producing regulator-ready reports in under 10 hours with validated data, cross-functional alignment, and documented processes.

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 week over 12 weeks, designed for completion on weekends or quiet business hours.

If nothing changes
Without a structured approach, capital reporting will continue to consume excessive time, increase risk of errors, and limit your ability to take on broader responsibilities in risk oversight.

How this compares to the alternatives

Unlike generic compliance courses, this program focuses specifically on Basel III capital adequacy reporting in global banks, with templates and workflows tailored to senior compliance specialists in institutions like the firm.

Frequently asked

Is this course relevant if I'm not in a G-SIB?
Yes. While focused on Basel III as applied in large banks, the frameworks and processes are adaptable to any institution with complex regulatory capital requirements.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Will this help with DORA compliance?
Yes. The course covers how Basel III frameworks intersect with DORA requirements for operational resilience and reporting.
$199 one-time. Approximately 90 minutes per week over 12 weeks, designed for completion on weekends or quiet business hours..

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
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