A tailored course, built for your situation
Mastering GLBA for Financial Services Compliance Leaders
Build authoritative command of Gramm-Leach-Bliley Act requirements and internal control alignment.
$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 regulator questions on data handling and compliance scope
The situation this course is for
Even seasoned compliance officers face pressure when GLBA audit timelines tighten and interpretations vary across departments. Without a unified internal framework, teams default to fragmented responses, leading to rework and inconsistent documentation.
Who this is for
Mid-senior compliance leader in global banking, focused on regulatory readiness and cross-functional control alignment
Who this is not for
Entry-level analysts, non-regulated sector risk managers, or consultants without direct GLBA audit exposure
What you walk away with
- Map GLBA Privacy and Safeguards Rules directly to internal policies and technical controls
- Anticipate FTC examiner line of questioning using real audit precedents
- Structure defensible compliance narratives for internal leadership reviews
- Align vendor risk assessments with GLBA data protection expectations
- Lead control design updates ahead of regulatory revisions
The 12 modules (with all 144 chapters)
Module 1. GLBA Foundation and Applicability Scope
Understand which entities and activities fall under GLBA jurisdiction, including exemptions and materiality thresholds.
12 chapters in this module
- Defining financial institutions under Title V of GLBA
- Identifying personally identifiable financial data
- Assessing functional regulation under FTC and CFPB authority
- Mapping applicability to non-US subsidiaries
- Distinguishing GLBA from GDPR and SOX overlap
- Recognizing triggers for Privacy Rule compliance
- Evaluating scope of customer vs consumer definitions
- Understanding exceptions for B2B relationships
- Applying the red flags rule in credit reporting contexts
- Linking GLBA obligations to consolidated supervision
- Reviewing enforcement history by institution type
- Benchmarking current compliance maturity level
Module 2. Privacy Rule: Disclosure Requirements
Design compliant privacy notices and opt-out mechanisms aligned with current FTC guidance.
12 chapters in this module
- Crafting initial privacy notices at account opening
- Updating annual privacy notices with material changes
- Formatting opt-out rights clearly and conspicuously
- Delivering notices in digital banking environments
- Ensuring multichannel delivery compliance
- Handling joint marketing agreement disclosures
- Validating timing and frequency of distributions
- Documenting customer election records securely
- Managing third-party disclosure obligations
- Auditing notice delivery across product lines
- Responding to customer inquiries about data sharing
- Integrating privacy notices into CRM workflows
Module 3. Safeguards Rule: Information Security Program
Build a risk-based information security program that satisfies FTC expectations.
12 chapters in this module
- Appointing qualified program oversight personnel
- Conducting periodic risk assessments across divisions
- Implementing access controls for customer data systems
- Encrypting data in transit and at rest
- Monitoring for unauthorized access attempts
- Testing incident response plans annually
- Training staff on data protection responsibilities
- Enforcing vendor due diligence processes
- Documenting security program evolution
- Aligning with NIST CSF control language
- Reporting program status to senior management
- Updating safeguards after system integrations
Module 4. Pretexting and Social Engineering Defenses
Establish organizational policies to prevent and detect pretexting attacks.
12 chapters in this module
- Defining pretexting under GLBA safeguards
- Identifying common vishing and phishing schemes
- Securing call center authentication protocols
- Training frontline staff on verification procedures
- Auditing account access request patterns
- Limiting data release without dual verification
- Detecting impersonation attempts via email
- Monitoring for insider misuse of customer data
- Responding to confirmed pretexting incidents
- Updating policies after threat intelligence updates
- Incorporating lessons from FTC enforcement cases
- Benchmarking detection capabilities against peers
Module 5. Red Flags Rule and Identity Theft Prevention
Develop a proactive identity theft detection and response program.
12 chapters in this module
- Identifying covered accounts under the Red Flags Rule
- Building a written identity theft prevention program
- Detecting suspicious activity patterns in account data
- Validating customer identity during onboarding
- Monitoring account takeover indicators
- Responding to suspected identity theft events
- Updating alert systems based on fraud trends
- Coordinating with legal and compliance teams
- Documenting investigations and resolutions
- Reporting incidents to appropriate authorities
- Educating customers about fraud protection
- Revising red flags based on updated guidance
Module 6. Vendor Oversight and Third-Party Risk
Ensure service providers comply with GLBA requirements through due diligence and contracts.
12 chapters in this module
- Assessing vendor access to customer information
- Including GLBA clauses in procurement agreements
- Reviewing vendor security certifications
- Conducting third-party risk assessments
- Validating encryption practices with cloud providers
- Auditing data processing locations and flows
- Managing offshore vendor risks
- Enforcing incident notification timelines
- Tracking vendor compliance over contract life
- Updating oversight after M&A activity
- Benchmarking vendor management maturity
- Integrating vendor audits into annual cycles
Module 7. Internal Controls and Audit Alignment
Align internal audit scopes and test procedures with GLBA requirements.
12 chapters in this module
- Mapping GLBA rules to internal control frameworks
- Designing targeted audit programs for compliance
- Sampling customer data access logs for review
- Validating opt-out process accuracy
- Testing encryption implementation in databases
- Evaluating employee training effectiveness
- Reviewing incident response test outcomes
- Assessing third-party audit coverage
- Reporting findings to senior management
- Aligning control testing with SOC 2 scope
- Updating audit plans after regulatory changes
- Documenting control remediation timelines
Module 8. FTC Audit Expectations and Examiner Engagement
Prepare effectively for regulator inquiries and on-site examinations.
12 chapters in this module
- Understanding FTC examiner priorities
- Organizing GLBA documentation for review
- Responding to requests for customer data policies
- Demonstrating risk assessment rigor
- Presenting staff training records clearly
- Explaining vendor oversight processes
- Justifying scope determinations
- Clarifying data classification practices
- Showing incident response readiness
- Providing access logs for sampling
- Handling follow-up questions professionally
- Avoiding common examination pitfalls
Module 9. Cross-Border Data Transfer Compliance
Manage international data flows in compliance with GLBA and other regimes.
12 chapters in this module
- Identifying customer data leaving US jurisdiction
- Applying data minimization principles
- Validating foreign vendor compliance
- Documenting data transfer safeguards
- Aligning with EU data protection expectations
- Handling multi-jurisdictional breach reporting
- Managing encryption key locations
- Reviewing data retention policies globally
- Updating procedures after policy changes
- Auditing offshore processing facilities
- Training global teams on data handling
- Benchmarking cross-border compliance maturity
Module 10. Incident Response Under GLBA
Develop and execute response plans for data breaches involving customer information.
12 chapters in this module
- Defining reportable incidents under GLBA
- Activating cross-functional response teams
- Preserving forensic evidence properly
- Notifying affected customers promptly
- Coordinating with legal counsel and PR
- Reporting to regulators as required
- Documenting root cause analysis
- Updating controls to prevent recurrence
- Testing response plans annually
- Reviewing third-party involvement in breaches
- Managing reputational risks effectively
- Aligning with state-level breach laws
Module 11. Policy Development and Management
Write, maintain, and enforce clear policies that reflect GLBA requirements.
12 chapters in this module
- Drafting privacy policy statements accurately
- Updating policies after regulatory changes
- Communicating changes across departments
- Securing executive approval for updates
- Archiving outdated policy versions
- Conducting policy awareness assessments
- Linking policies to training modules
- Auditing policy exception requests
- Integrating policy updates into workflows
- Mapping policies to control activities
- Benchmarking policy maturity levels
- Ensuring multilingual accessibility
Module 12. Continuous Improvement and Regulatory Monitoring
Stay ahead of evolving GLBA interpretations and enforcement trends.
12 chapters in this module
- Tracking FTC enforcement actions regularly
- Subscribing to regulatory updates
- Analyzing consent order language
- Updating control frameworks after rulings
- Participating in industry working groups
- Benchmarking against peer institutions
- Presenting regulatory trends to leadership
- Adjusting training content accordingly
- Revising audit scopes proactively
- Documenting monitoring process rigor
- Integrating lessons into risk assessments
- Maintaining institutional memory
How this maps to your situation
- Current regulatory scrutiny on data handling
- AVP-level responsibility for control interpretation
- Need for defensible audit narratives
- Cross-functional influence in compliance execution
Before vs. after
Before
Relies on general compliance knowledge and reacts to auditor requests
After
Leads with structured GLBA expertise and shapes internal compliance expectations
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 completion over four weeks with downloadable resources for ongoing reference.
If nothing changes
Without deeper command of GLBA, there's a growing chance of delayed responses to regulatory requests, inconsistent control application, and increased scrutiny during audits.
How this compares to the alternatives
Unlike generic compliance overviews, this course delivers exact language from FTC guidance, real audit precedents, and implementation patterns used by top-tier financial institutions.
Frequently asked
Is this course focused on US regulations only?
Yes, it centers on GLBA as enforced by the FTC and applies to financial institutions with US operations or customer relationships.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Does this replace formal legal counsel?
No, this course builds operational compliance capability but does not provide legal advice.
$199 one-time. Approximately 90 minutes per module, designed for completion over four weeks with downloadable resources for ongoing reference..
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