A tailored course, built for your situation
Mastering Basel III for Compliance Testing Specialists in Financial Institutions
A structured path to higher-impact compliance work with clear financial upside
$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.
Spending too much time reconciling risk-weighted asset calculations under cycle-end deadlines?
The situation this course is for
Monthly capital reporting under Basel III demands exacting detail. Small errors in risk classification or credit valuation can trigger rework loops, delay sign-off, and expose teams to scrutiny. The burden falls heavily on specialists who own evidence assembly but lack a standardized, auditable method to streamline the process.
Who this is for
Michael is a hands-on Compliance Testing Specialist at a major U.S. bank, focused on validating controls tied to financial and regulatory reporting. He operates at the intersection of policy and execution, with growing visibility into capital adequacy frameworks. His work directly supports audit readiness and internal control integrity.
Who this is not for
This course is not for executives seeking high-level summaries of Basel III, nor for auditors outside the financial sector. It's designed specifically for practitioners embedded in compliance testing at systemically important financial institutions.
What you walk away with
- Produce Basel III-compliant capital reports with 90% less rework
- Own the end-to-end validation workflow for risk-weighted assets
- Build reusable templates for credit risk classification and capital treatment
- Reduce evidence collection time by aligning with internal audit expectations
- Position yourself for higher-margin engagements in regulatory capital projects
The 12 modules (with all 144 chapters)
Module 1. Understanding Basel III’s Core Objectives
Establish a foundational understanding of Basel III’s goals, including capital adequacy, stress resilience, and liquidity standards. Focus on how these objectives shape testing requirements within large financial institutions.
12 chapters in this module
- Origins of Basel III after the the current cycle financial crisis
- Key differences between Basel II and Basel III frameworks
- Role of the Federal Reserve and OCC in U.S. implementation
- How capital ratios influence compliance testing scope
- Overview of Tier 1 and Tier 2 capital definitions
- Impact of leverage ratio requirements on asset classification
- Liquidity Coverage Ratio and Net Stable Funding Ratio basics
- Standardized vs. advanced approaches to risk weighting
- U.S. implementation timeline and current phase-in status
- Interplay between Basel III and Dodd-Frank stress testing
- How PNC-level capital planning aligns with Basel standards
- Common misconceptions about Basel III applicability
Module 2. Mapping Basel III to Internal Controls
Translate high-level Basel III requirements into specific, testable control points across credit, market, and operational risk domains.
12 chapters in this module
- Identifying control objectives in capital adequacy processes
- Linking risk-weighted asset calculations to control design
- Tracing data flows from loan origination to reporting
- Validating inputs for credit risk mitigation techniques
- Testing accuracy of exposure at default estimates
- Reviewing controls over collateral valuation adjustments
- Assessing segregation of duties in capital reporting
- Evaluating change management for capital models
- Documenting control activities for internal audit
- Using flowcharts to visualize Basel-related processes
- Cross-referencing controls with regulatory expectations
- Common control gaps in mid-cycle capital reporting
Module 3. Risk-Weighted Asset Calculation Methods
Master the technical calculation methodologies for risk-weighted assets under the standardized and advanced approaches.
12 chapters in this module
- Applying risk weights to on-balance-sheet exposures
- Treatment of residential mortgages under Basel III
- Commercial real estate risk weighting criteria
- Corporate loan classification and risk weighting rules
- Derivatives exposure measurement using CEM and SA-CCR
- Off-balance-sheet commitments and credit conversion factors
- Equity exposures and deduction thresholds
- Sovereign and central bank exposure treatment
- Intra-financial exposures and large exposure limits
- Calculation of risk-weighted assets for securitizations
- Treatment of defaulted exposures and collateral
- Common calculation errors in RWA spreadsheets
Module 4. Capital Adequacy and Leverage Ratio Testing
Develop test procedures for verifying accuracy of capital ratio calculations and compliance with minimum requirements.
12 chapters in this module
- Validating Tier 1 capital composition and deductions
- Testing common equity Tier 1 ratio accuracy
- Confirming supplementary leverage ratio inputs
- Reviewing treatment of goodwill and intangible assets
- Testing capital conservation buffer calculations
- Assessing compliance with countercyclical buffer
- Evaluating capital floor calculations under standardized approach
- Verifying total capital ratio against minimum thresholds
- Testing for appropriate regulatory capital treatment
- Reviewing capital planning assumptions
- Identifying non-compliant capital instruments
- Documenting capital adequacy test results
Module 5. Liquidity Risk and LCR Testing
Build test plans for liquidity coverage ratio compliance, focusing on high-quality liquid assets and cash outflow assumptions.
12 chapters in this module
- Defining high-quality liquid assets under Basel III
- Testing eligibility of government securities
- Validating corporate bond classifications
- Reviewing cash inflow and outflow assumptions
- Testing stressed net cash outflow calculations
- Assessing behavioral assumptions in outflows
- Confirming LCR numerator and denominator accuracy
- Testing data sources for liquidity reporting
- Evaluating internal controls over LCR processes
- Reviewing collateral haircuts for HQLA
- Common LCR reporting discrepancies
- Linking LCR testing to contingency funding planning
Module 6. NSFR Compliance and Testing Procedures
Develop testing strategies for compliance with the Net Stable Funding Ratio, focusing on available and required stable funding.
12 chapters in this module
- Understanding the purpose of NSFR regulation
- Defining available stable funding categories
- Testing ASF factors for customer deposits
- Validating wholesale funding classifications
- Reviewing required stable funding for assets
- Testing RSF factors for loans and securities
- Assessing treatment of derivatives in NSFR
- Confirming NSFR calculation accuracy
- Evaluating data integrity in NSFR reporting
- Identifying control gaps in funding assumptions
- Common NSFR reporting errors
- Aligning NSFR testing with ALCO reporting
Module 7. Basel III Documentation Standards
Establish best practices for documenting compliance testing work to meet internal and external auditor expectations.
12 chapters in this module
- Structuring evidence for capital adequacy reviews
- Documenting test design and execution steps
- Capturing risk-weighted asset calculation logic
- Using templates for consistent documentation
- Linking findings to specific Basel III clauses
- Maintaining version control in spreadsheets
- Ensuring traceability from policy to test
- Reviewing documentation for completeness
- Preparing workpapers for audit cycles
- Using cross-references to reduce rework
- Standardizing narrative descriptions
- Avoiding common documentation pitfalls
Module 8. Automating Basel III Calculations
Identify opportunities to automate repetitive calculations and reduce manual rework in capital reporting.
12 chapters in this module
- Mapping manual processes for automation potential
- Using Excel formulas to validate RWA logic
- Building reusable templates for capital ratios
- Integrating data from core banking systems
- Validating automated outputs against manual runs
- Documenting assumptions in automated tools
- Testing error handling in calculation models
- Ensuring auditability of automated processes
- Implementing version control for models
- Sharing templates across compliance teams
- Reducing dependency on tribal knowledge
- Scaling automation to other regulatory reports
Module 9. Cross-Functional Collaboration in Basel III
Improve coordination with finance, risk, and audit teams to ensure consistent capital reporting.
12 chapters in this module
- Identifying key stakeholders in capital reporting
- Aligning testing scope with finance reporting
- Coordinating with model validation teams
- Engaging credit risk for data accuracy
- Working with internal audit on expectations
- Facilitating handoffs between departments
- Resolving discrepancies in data sources
- Establishing escalation paths for issues
- Documenting cross-team decisions
- Scheduling joint review cycles
- Building trust through consistent delivery
- Reducing friction in end-of-cycle reporting
Module 10. Responding to Regulatory Inquiries
Prepare clear, evidence-backed responses to regulator questions on capital adequacy and compliance testing.
12 chapters in this module
- Anticipating common regulator questions
- Organizing evidence for rapid retrieval
- Drafting clear, concise response narratives
- Validating data cited in responses
- Reviewing responses with legal counsel
- Maintaining version control for submissions
- Tracking open items from regulatory requests
- Using past inquiries to improve testing
- Avoiding overcommitment in responses
- Coordinating with senior management
- Ensuring consistency across responses
- Building a reference library of past answers
Module 11. Continuous Improvement in Compliance Testing
Implement feedback loops to refine testing procedures and reduce future rework.
12 chapters in this module
- Collecting feedback from audit teams
- Analyzing root causes of rework
- Updating test plans based on findings
- Incorporating lessons from regulatory exams
- Benchmarking against peer institutions
- Tracking key testing efficiency metrics
- Sharing best practices across teams
- Updating documentation standards
- Scheduling regular process reviews
- Integrating new regulatory guidance
- Measuring impact of process changes
- Recognizing team improvements
Module 12. Positioning for Higher-Margin Work
Leverage Basel III expertise to take on more strategic, higher-impact projects within the organization.
12 chapters in this module
- Identifying capital-related consulting opportunities
- Volunteering for cross-functional projects
- Documenting value added by compliance testing
- Building credibility with risk leadership
- Presenting efficiency gains to management
- Seeking stretch assignments in capital planning
- Developing subject matter expertise
- Mentoring junior team members
- Contributing to regulatory change assessments
- Positioning for promotion or role expansion
- Creating reusable assets for the team
- Establishing yourself as a trusted advisor
How this maps to your situation
- Monthly capital reporting cycles
- Regulatory examination readiness
- Inter-departmental coordination
- Internal audit response and follow-up
Before vs. after
Before
Spending cycle-end weeks reconciling capital calculations, chasing data, and responding to last-minute requests.
After
Producing clean, auditable capital reports with minimal rework, freeing time for higher-impact work.
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 to be completed over a 12-week period with one module per week.
If nothing changes
Continuing with manual, error-prone processes increases the likelihood of findings during audits, extends cycle times, and limits opportunities to take on more strategic work.
How this compares to the alternatives
Unlike generic compliance courses, this program is tailored to the specific technical demands of Basel III capital reporting in large financial institutions. It focuses on actionable testing procedures, not high-level summaries.
Frequently asked
Is this course relevant if I don’t work in capital markets?
Yes. Basel III applies to all large financial institutions, including banks like PNC. The course focuses on compliance testing within the context of regulatory capital requirements.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Will this help me prepare for regulatory exams?
Yes. The course emphasizes documentation, evidence quality, and response readiness, key areas inspected during regulatory reviews.
$199 one-time. Approximately 90 minutes per module, designed to be completed over a 12-week period with one module per week..
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