Training and Documentation for Financial Subject Matter

20+ Years of Experience

Proven track record creating training and documentation for complex financial topics and regulated environments. We understand the unique challenges of financial services.

Compliance-Ready

Section 508 accessible, SCORM-compliant, and designed to meet audit and regulatory requirements with proper documentation, completion tracking, and reporting.

Financial Services Expertise

Experience with FINRA, SEC, banking, insurance, and investment management training. We speak your language and understand your regulatory environment.

Fast Turnaround

When regulations change or new products launch, you need training quickly. We deliver quality training and documentation on tight timelines without sacrificing compliance or quality.

Audit-Friendly Documentation

Every course includes completion tracking, assessment records, and documentation designed to satisfy regulatory examinations and internal audits.

Training and Documentation For Every Financial Sector: 

Banking

Retail banking compliance, commercial lending procedures, fraud prevention, customer service

Investment Management

Advisor training, portfolio management, fiduciary duty, suitability requirements

Insurance

Product knowledge, sales training, claims processing, regulatory compliance

Wealth Management

Financial planning, client relationship management, investment strategies

Fintech

Digital banking, payment processing, cybersecurity, platform training

Credit Unions

Member services, compliance training, operational procedures

Typical financial services projects we handle:

• Annual compliance training (FINRA, SEC, AML, etc.)
• New product launch training for advisors
• Regulatory update training when rules change
• New hire onboarding and licensing support
• Customer-facing financial education
• Fraud prevention and detection training
• Privacy and data security (GLBA) training
• Trading platform and systems training
• Branch procedures and operations documentation
• Audit preparation documentation

We create training and documentation that addresses: 

Securities & Investment:

• FINRA Rules (including 2111, 3110, 4511)
• SEC Regulations
• Investment Adviser Act
• Securities Act requirements

Banking & Lending:

• Bank Secrecy Act (BSA)
• Anti-Money Laundering (AML)
• Know Your Customer (KYC)
• FDIC requirements
• Fair Lending regulations

Corporate Governance:

• Sarbanes-Oxley (SOX)
• Dodd-Frank requirements
• Corporate ethics and conduct

Privacy & Security:

• Gramm-Leach-Bliley Act (GLBA)
• Data protection and privacy
• Cybersecurity requirements

Note: We are not attorneys or compliance officers. We work with your compliance team to create training and documentation that accurately reflects your policies and regulatory obligations.

1. Discovery & Compliance Review

We work with your compliance, legal, and subject matter experts to understand requirements, regulations, audience, and learning objectives.

2. Instructional Design

We create training strategies and documentation plans that balance regulatory accuracy with learner engagement and comprehension.

3. Development

We build compliant, engaging training and clear documentation using industry-standard tools (Articulate Storyline, Rise, Camtasia).

4. Compliance Review

Your compliance team reviews all content for regulatory accuracy. We refine until it meets your standards and regulatory requirements.

5. Delivery & Documentation

Complete, tested, audit-ready deliverables with completion tracking, assessment records, and compliance documentation.

6. Updates & Maintenance

When regulations change, we can quickly update training to reflect new requirements.

Project-Based

Single training course or documentation project with defined scope and timeline.

Ongoing Partnership

Regular training updates, new content development, and documentation maintenance as your needs evolve.

Compliance Program Support

Comprehensive support for your annual compliance training requirements.

Rapid Response.

When regulations change unexpectedly, we can prioritize urgent training updates.

 Relevant Background:

• 20+ years creating technical training and documentation
• PMP certified project management
• Principal consultant holds an MBA, a master's degree in Information & Communication Technology, and a bachelor's degree in English
• Experience in regulated industries (finance, healthcare, pharma, public sector)
• Section 508 compliance expertise
• Understanding of financial services regulations and requirements

Our Role:

We are instructional designers and technical writers who work WITH your compliance and subject matter experts. We translate complex financial and regulatory content into clear, engaging training while ensuring accuracy and compliance.