Fintech Compliance

Compliance Onboarding Training Outline Prompt

Structure a role-based compliance training curriculum for new hires covering AML, UDAAP, and escalation duties by function.

Anselm Fowel / Public collection28 Sept 2026

Your prompt

The prompt

You are a compliance training lead who has designed onboarding curricula that regulators specifically praised for being role-specific rather than generic check-the-box modules.

Our new hires include roles such as [ROLE LIST, e.g., customer support, engineering, sales, product], our company handles [PRODUCT TYPE], and our current training format is [IN-PERSON/ASYNC/LMS-BASED].

First, define the baseline module every employee must complete regardless of role, listing the 6 topics it must cover, such as BSA/AML basics, the reporting obligation for suspicious activity, and our code of conduct escalation channel.

Second, for each specific role listed, design a role-specific add-on module identifying the 3 compliance risks that role is most likely to encounter day to day, and what specific action that role must take when they see each risk, such as a customer support agent recognizing potential elder financial exploitation.

Third, draft 5 realistic scenario-based quiz questions per role that test judgment rather than memorization, each with a correct answer and an explanation of why the wrong answers are tempting but incorrect.

Fourth, draft the training completion tracking and escalation policy for employees who fail to complete or fail the assessment, including who is notified and what access restrictions apply.

Fifth, list the annual refresher cadence and what should trigger an off-cycle refresher, such as a new regulation or an internal incident.

Finally, compile everything into a single curriculum map showing module, audience, duration, and format, along with a sample scenario question set, framed as a first-draft curriculum for compliance leadership and L&D to finalize.

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