Compliance Officer 4 Required · 1 Elective ~4 hours total

Compliance Officer Learning Path

You are responsible for the institution's BSA/AML compliance program. This path covers all four core modules in depth, plus certification. All modules are required for compliance officers and MLROs.

Path Completion

0 of 5 complete

Certification requirement

Complete all 4 required modules + knowledge check with ≥80%

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REQUIRED

Module 1: Bank Secrecy Act (BSA)

4 lessons · ~60 min — BSA framework, KYC/CDD/EDD, CTR filing, SAR thresholds, beneficial ownership

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REQUIRED

Module 2: OFAC Screening

3 lessons · ~45 min — SDN list, 50% rule, screening methodology, blocked/rejected distinctions, procedures

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REQUIRED

Module 3: AML Transaction Monitoring

4 lessons · ~60 min — AML program pillars, typologies, TMS mechanics, alert investigation workflow

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REQUIRED

Module 4: SAR Filing Procedures

3 lessons · ~60 min — Filing thresholds, narrative writing standards, BSA E-Filing, continuing activity SARs

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✓

CERTIFICATION

Final Knowledge Check

20 scenario-based questions across all 4 modules. Pass with 80% to earn your annual certification.

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Role Notes for Compliance Officers

You are responsible for authorizing all SAR filings — no SAR should be filed without your review and sign-off.
You have sole authority to clear potential OFAC matches — front-line staff must escalate screening hits to you. Document every disposition decision.
You are the institution's primary BSA E-Filing Supervisory User — manage staff filing access and ensure timely submission.
Annual recertification is required. This program satisfies the annual training requirement under 31 CFR 1020.210.
If you receive a law enforcement request or grand jury subpoena related to a SAR, do not disclose the SAR filing to the subject or their counsel. Consult legal before responding.