Custom

Compliance Training


For nearly three decades, Senova Training has partnered with leading financial institutions to create fully custom courses that fit their business models, product strategies, and regulatory obligations. Our custom work spans product and strategy courses—from mutual funds and municipal bonds to complex options and alternative investments—as well as role-based training that equips advisors, consultants, and bankers to serve clients effectively while staying compliant.

Every course is built with our Obligations First methodology, ensuring content is practical, defensible, and engaging for learners.

modern. aligned. traceable.

Product and Strategy Courses

  • Clean Shares
  • Introduction to Foreign Exchange
  • Investing in Higher Yielding and Interest Rate Sensitive Products: Risks and Considerations
  • Mutual Funds: Single Share Class in Brokerage Accounts
  • Taxable Fixed Income Securities
  • Alternative Investments
  • Mutual Funds
  • Futures
  • Variable Annuities
  • Concentrated Equity Solutions
  • Municipal Bonds
  • Understanding Futures Linked Securities
  • IRA Rollover
  • Options Overlay Strategies
  • Options Trading
  • Complex Options
  • Closed-End Funds
  • Understanding Credit-Linked Notes


Role-based Courses

  • Institutional Consulting
  • Retirement Plan Consulting Services
  • Advisory Solutions
  • Banking and Lending
  • Integrated Risk and Capital Management
  • Consolidated Advisory Program

Custom Regulatory Compliance Training

  • AML Key Concepts
  • AML in Cryptocurrencies
  • AML Model Validation
  • AML Risk Management
  • AML Red Flags
  • BSA Best Audit Practices
  • BSA Overview & Fundamentals
  • BSA/AML/OFAC Risk Assessments
  • BSA: Reporting Requirements
  • Creating & Managing an Effective AML Compliance Program
  • Currency Transaction Reports (CTRs)
  • Digital Assets: AML Risks
  • FinCEN: Overview and Purpose
  • Fundamentals of CIP, CDD, EDD, CTR
  • KYC: Overview
  • OFAC: Sanctions

Regulatory Compliance - Regs

  • Customer Protection
  • Reg O
  • Reg W
  • Reg Y
  • Reg Z
  • Fair Lending: CRA, UDAAP, ECOA, FHA, TILA
  • Customer Protection
  • CFPB ABC Regulations: Regulation B, C, E, F, G, M, P, V, X, Z, DD
  • CFPB Regulation E: Payroll Card Compliance, Preauthorized Transfer, Prepaid Account, Remittance Rule
  • CFPB’s Final Rule on LIBOR Transtion: How to Prepare
  • CFPB's Debt Collections Rules
  • Regulatory Compliance on Deposits: TISA, EFA Act, Check 21, The Garnishment Rule
  • Fair Debt Collection Practices Act (FDCPA)

ERM for Board and C-Suite

Effective enterprise risk management starts at the top. Our upcoming ERM for Board and C-Suite modules are designed to equip directors and senior executives with the knowledge and context they need to oversee BSA/AML compliance at the highest level.

Planned modules include Board Oversight of the BSA/AML Program, The Board-Designated BSA Officer (BSAO), and Senior Audit Executive Engagement. Each is crafted to clarify governance responsibilities, reinforce accountability, and strengthen executive oversight in today’s heightened regulatory environment.

Course: ERM for Board and C-Suite

Modules

  • Board Oversight of the BSA AML Program
  • The Board-Designated BSA Officer (BSAO)
  • Senior Audit Executive Engagement