A tailored course, built for your situation
Mastering FFIEC for Financial Planners in Regulated Wealth Management
Build defensible, source-backed reasoning into every client recommendation and compliance interaction
$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.
Losing credibility when asked to justify planning decisions under regulatory scrutiny
The situation this course is for
Financial planners at regulated institutions often face pushback on recommendations not because they're wrong, but because they can't quickly reference the exact regulatory expectation or control standard that supports them. This leads to delays, second-guessing, and diminished influence in cross-functional reviews.
Who this is for
Financial planners at large, regulated wealth firms who need to defend recommendations using specific regulatory references and internal control frameworks
Who this is not for
Entry-level advisors without compliance interaction, planners at unregulated boutique firms, or those not required to justify decisions under FFIEC or GLBA frameworks
What you walk away with
- Cite FFIEC handbook sections with precision when defending client portfolio structures
- Map common financial planning decisions directly to applicable control domains (e.g., BSA/AML, Fair Lending, Operational Resilience)
- Respond to internal audit queries with pre-built examples and source-backed logic
- Anticipate reviewer objections using pattern-matched scenarios from real FFIEC exam findings
- Maintain consistency across client files with a personal reference playbook tied to current examination priorities
The 12 modules (with all 144 chapters)
Module 1. Introduction to FFIEC Examination Priorities
Understand the current focus areas of FFIEC exams and how they translate to day-to-day financial planning decisions. Review recent changes in guidance and their implications for client documentation and risk disclosure.
12 chapters in this module
- What FFIEC is and why it matters
- Structure of the FFIEC IT Handbook
- Key updates in current edition
- How exams are scoped
- Role of financial planners in compliance
- GLBA and privacy expectations
- Basel III relevance to wealth
- Regulatory reporting triggers
- Client risk tiering frameworks
- Documentation standards
- Audit trail expectations
- Common misconceptions
Module 2. Client Onboarding and Risk Classification
Apply FFIEC guidance to initial client engagements, ensuring risk classification aligns with institutional expectations and can withstand internal review.
12 chapters in this module
- Risk-based pricing rules
- Customer identification program
- Beneficial ownership verification
- Sanctions screening basics
- Adverse media checks
- Ongoing monitoring triggers
- High-net-worth red flags
- Family office documentation
- Trust account setup
- AML risk scoring models
- Client risk reevaluation
- Documentation retention rules
Module 3. Wealth Transfer and Estate Planning Controls
Align estate planning recommendations with operational resilience and succession planning expectations in the FFIEC framework.
12 chapters in this module
- Succession planning for advisors
- Client incapacity protocols
- Power of attorney review
- Trustee eligibility checks
- Asset titling rules
- Beneficiary designation audits
- IRA distribution compliance
- Generation-skipping rules
- State-specific estate laws
- Cross-border estate issues
- Documentation for gifting
- Annual compliance review
Module 4. Investment Policy Statement Rigor
Strengthen the defensibility of Investment Policy Statements using FFIEC control expectations for suitability and fiduciary duty.
12 chapters in this module
- Suitability standard origins
- Time horizon documentation
- Risk tolerance assessment
- Liquidity needs justification
- Tax status considerations
- Concentration limits
- Alternative investment disclosures
- Private placement compliance
- Performance benchmarking
- Rebalancing thresholds
- Client approval process
- Amendment tracking
Module 5. Cybersecurity and Client Data Handling
Incorporate cybersecurity expectations from the FFIEC IT Handbook into daily client interaction and file management practices.
12 chapters in this module
- Multi-factor authentication rules
- Remote access policies
- Email encryption standards
- Client file access logs
- Mobile device management
- Phishing response protocols
- Data breach notification
- Vendor cybersecurity review
- Third-party sharing rules
- Encryption at rest
- Session timeout policies
- Audit log retention
Module 6. Anti-Money Laundering Signal Detection
Recognize transaction patterns that trigger BSA/AML scrutiny and document responses in line with FFIEC examiner expectations.
12 chapters in this module
- Currency transaction reports
- Suspicious activity thresholds
- Structuring detection
- Source of wealth checks
- Gift tax reporting
- Foreign account rules
- Wire transfer red flags
- Private jet purchases
- Cash-intensive business clients
- Unusual withdrawal patterns
- Layering indicators
- Integration stage behaviors
Module 7. Fair Lending and Advisory Consistency
Ensure advisory practices meet Fair Lending expectations by maintaining consistent documentation and decision logic across client segments.
12 chapters in this module
- Equal treatment standards
- Documentation parity
- Client segmentation logic
- Fee structure transparency
- Advisory model consistency
- Language access services
- Disparate impact risks
- Senior client protections
- Disability accommodations
- Ethnicity data handling
- Complaint tracking
- Fair lending testing
Module 8. Regulatory Examination Response
Prepare for internal and external exam queries with structured responses tied directly to FFIEC handbook sections and control mappings.
12 chapters in this module
- Examination notice receipt
- Document request triage
- Control mapping exercise
- Gap analysis basics
- Remediation planning
- Management response drafting
- Follow-up timelines
- Internal audit coordination
- Legal department alignment
- Regulatory escalation paths
- FFIEC feedback loops
- Post-exam review
Module 9. Vendor Oversight in Advisory Ecosystems
Apply FFIEC vendor management expectations to fintech tools, custodial platforms, and third-party analytics providers.
12 chapters in this module
- Vendor risk classification
- Due diligence checklist
- Cybersecurity assessment
- Data ownership terms
- SLA enforcement
- Subcontractor oversight
- Termination clauses
- Performance monitoring
- Audit rights negotiation
- Insurance requirements
- Incident response planning
- Contract renewal review
Module 10. Business Continuity for Advisor Practices
Design personal and team-level continuity plans that meet FFIEC operational resilience expectations.
12 chapters in this module
- Disaster recovery basics
- Work-from-home readiness
- Client communication plan
- Data backup frequency
- Cloud access fallback
- Succession for key clients
- Critical vendor dependencies
- Third-party location risks
- Cyber incident response
- Regulatory reporting during outage
- Annual test requirements
- Plan update triggers
Module 11. Compliance Integration in Daily Workflow
Embed compliance checks into routine planning activities so documentation and defensibility are automatic, not reactive.
12 chapters in this module
- Daily checklist integration
- Client meeting prep
- File structure standards
- Template usage rules
- Version control
- Peer review triggers
- Supervisory sign-off
- Exception logging
- Training documentation
- Policy acknowledgment
- Annual attestation
- Continuous improvement
Module 12. Building a Personal Reference Playbook
Compile a customized, living reference guide that consolidates FFIEC citations, response templates, and precedent examples for rapid use.
12 chapters in this module
- Personal playbook structure
- Citation indexing
- Scenario tagging
- Response template library
- Control mapping index
- Examiner question log
- Peer challenge tracking
- Update workflow
- Version history
- Searchability features
- Cross-device access
- Annual refresh process
How this maps to your situation
- When onboarding high-net-worth clients with complex structures
- When responding to internal audit inquiries on portfolio allocations
- When defending estate planning recommendations under review
- When integrating new fintech tools into client service workflows
Before vs. after
Before
Frequent rework when compliance questions arise, reliance on memory or ad-hoc searches to justify decisions
After
Immediate access to precise FFIEC references and structured reasoning patterns for every major planning decision
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 be completed at your pace over 6-8 weeks.
If nothing changes
Without structured regulatory grounding, even sound financial advice can be dismissed during reviews, reducing influence and slowing client onboarding.
How this compares to the alternatives
Unlike generic compliance overviews, this course focuses exclusively on FFIEC applications to financial planning, with real-world examples and direct citations , not theory. Compared to firm-specific training, it offers portable, personal defensibility that travels with you.
Frequently asked
Is this course specific to the firm policies?
No. It focuses on FFIEC standards and how to apply them in practice, making it valuable regardless of firm-specific procedures.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Will this help with GLBA compliance?
Yes. GLBA privacy rules are integrated throughout, especially in client data handling and vendor oversight modules.
$199 one-time. Approximately 3 hours per module, designed to be completed at your pace over 6-8 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