A tailored course, built for your situation
Mastering Section 1071 Compliance for Financial Institutions
A step-by-step framework to ensure your institution meets evolving regulatory requirements with confidence and precision
$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.
Struggling to interpret and implement Section 1071 without overextending your team or risking noncompliance?
The situation this course is for
Regulatory deadlines are tightening, and Section 1071 introduces complex data collection and reporting demands. Teams are overwhelmed by ambiguity, inconsistent guidance, and the risk of enforcement actions. Without a clear roadmap, even experienced professionals face delays, rework, and compliance gaps. This course eliminates the guesswork.
Who this is for
Compliance leaders in financial institutions who need to operationalize Section 1071 with limited bandwidth and high accountability
Who this is not for
Entry-level staff, vendors outside financial compliance, or professionals focused solely on marketing or IT governance
What you walk away with
- Decode Section 1071 requirements clearly and confidently
- Build a compliant data collection framework from day one
- Reduce team friction during implementation
- Align with exam-ready standards before audits begin
- Deploy a living compliance playbook that evolves with guidance
The 12 modules (with all 144 chapters)
Module 1. Understanding Section 1071 Origins
Explore the legislative foundation and intent behind Section 1071 to build a solid compliance mindset.
12 chapters in this module
- What is Section 1071
- Dodd-Frank context simplified
- Who qualifies as small business
- Exemptions and exclusions
- Regulatory agency roles
- Enforcement risk overview
- Timeline expectations
- Public comment impact
- Agency interpretation trends
- Compliance vs reporting
- Data scope defined
- Common misconceptions
Module 2. Defining Small Business Lending
Identify which loans fall under Section 1071 and how to classify them accurately.
12 chapters in this module
- Loan purpose criteria
- Revenue-based thresholds
- Ownership structure checks
- Credit scoring relevance
- Loan term boundaries
- Exempt loan types
- Application data points
- Co-applicant rules
- Franchise reporting
- Industry classification codes
- Loan purpose documentation
- Revenue verification methods
Module 3. Data Collection Requirements
Break down the 20+ required data fields and understand how to gather them systematically.
12 chapters in this module
- Demographic data fields
- Credit decision codes
- Loan amount ranges
- Interest rate reporting
- Collateral requirements
- Term length rules
- Origination charges
- Lender credits
- Prepayment penalties
- Underwriting process codes
- Manual vs automated entry
- Data validation checks
Module 4. Building Internal Workflows
Design efficient, auditable processes for capturing and storing required data.
12 chapters in this module
- Team role mapping
- Process ownership
- Checklist integration
- System compatibility
- Vendor coordination
- Data entry standards
- Error correction paths
- Version control
- Staff training plan
- Audit trail setup
- Change management
- Compliance documentation
Module 5. Technology and System Readiness
Evaluate your current tech stack and prepare it for Section 1071 data demands.
12 chapters in this module
- Core system capabilities
- CRM integration needs
- Data field mapping
- API considerations
- Legacy system limits
- Cloud solution options
- Security protocols
- Encryption standards
- Access controls
- Backup requirements
- Scalability planning
- Testing environments
Module 6. Vendor and Third-Party Management
Ensure external partners meet compliance standards and support accurate reporting.
12 chapters in this module
- Vendor due diligence
- Contract language updates
- Service level agreements
- Data sharing policies
- Compliance certifications
- Audit rights
- Subprocessor oversight
- Performance monitoring
- Incident response
- Termination clauses
- Renewal reviews
- Compliance alignment checks
Module 7. Data Privacy and Security
Protect sensitive borrower information while meeting regulatory transparency goals.
12 chapters in this module
- PII handling rules
- Storage location policies
- Access logging
- Encryption in transit
- Breach response plan
- Retention periods
- Deletion protocols
- Consent considerations
- Third-party audits
- Employee training
- Risk assessment frequency
- Compliance documentation
Module 8. Internal Audit and Testing
Validate your compliance framework with structured testing and review cycles.
12 chapters in this module
- Sample selection method
- Accuracy verification
- Missing data protocols
- Error rate thresholds
- Corrective action plans
- Testing frequency
- Documentation standards
- Findings reporting
- Management review
- Process adjustments
- Audit trail review
- Lessons learned
Module 9. Regulatory Examination Prep
Anticipate examiner questions and prepare responsive, complete documentation.
12 chapters in this module
- Examination scope
- Document request list
- Response timelines
- Interview preparation
- Data sample requests
- Exemption justification
- Policy documentation
- Procedural manuals
- Training records
- Audit results
- Remediation plans
- Follow-up expectations
Module 10. Public Reporting and Transparency
Understand expectations for public data disclosure and community response.
12 chapters in this module
- Public report format
- Data anonymization
- Disclosure timing
- Community feedback
- Press inquiry prep
- Website publishing
- Data access methods
- File format standards
- Update frequency
- Error correction notice
- Stakeholder outreach
- Transparency benefits
Module 11. Change Management and Training
Equip teams with knowledge and tools to sustain compliance over time.
12 chapters in this module
- Training audience mapping
- Content development
- Delivery formats
- Role-specific modules
- Refresher cycles
- Assessment quizzes
- Feedback collection
- Adoption tracking
- Leadership messaging
- Compliance culture
- Resource hub setup
- Support channels
Module 12. Future-Proofing Compliance
Adapt to evolving guidance and maintain readiness amid regulatory shifts.
12 chapters in this module
- Monitoring rule changes
- Stakeholder updates
- Internal alert systems
- Policy revision process
- Cross-functional review
- Budget planning
- Technology upgrades
- Staffing needs
- External consultant use
- Industry collaboration
- Lessons from peers
- Continuous improvement
How this maps to your situation
- You’re interpreting new regulatory language
- You’re building internal processes from scratch
- You’re coordinating across teams and systems
- You’re preparing for audit or examination
Before vs. after
Before
Overwhelmed by vague regulatory language and internal alignment challenges
After
Confidently leading a clear, auditable Section 1071 compliance program
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 for busy professionals balancing core responsibilities.
If nothing changes
Without structured guidance, teams risk incomplete implementation, regulatory scrutiny, and operational delays that could impact reputation and exam results.
How this compares to the alternatives
Unlike generic compliance webinars or dense legal memos, this course delivers step-by-step implementation guidance with practical tools and real-world examples tailored to Section 1071’s unique challenges.
Frequently asked
Who is this course designed for?
Compliance officers, risk managers, and operational leaders in financial institutions implementing Section 1071.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Is there a money-back guarantee?
Yes, 30-day money-back guarantee if the course doesn’t meet expectations.
$199 one-time. Approximately 3 hours per module, designed for busy professionals balancing core responsibilities..
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