ComplianceOne® Certification Program | Wolters Kluwer Financial Services
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ComplianceOne Certification Program

  • The ComplianceOne certification program is offered to all ComplianceOne users.  Certification can be achieved in one of the four subjects, or all four subjects, depending on the user’s preferences and knowledge. Participants must pass (score 80% or better) on a 50-point certification test. Certification must be renewed every three years.

    What are the benefits of certification?

    • Increase your professional marketability
    • Demonstrate your value to management as an important asset to your lending and/or deposit team
    • Establish a standard of knowledge for your staff
    • Increase your institution’s productivity and efficiency
    • Increase your institution’s likelihood of compliance

    How does it work?

    ComplianceOne Certification will be offered in four separate certification tracks.

    • ComplianceOne Loan Administration Certification
    • ComplianceOne Loan Operations Certification
    • ComplianceOne Deposit Administration Certification
    • ComplianceOne Deposit Operations Certification

    Each certification track is independent; participants do not need to accumulate all certifications

    To become certified, participants must pass (score 80% or better) on a 50-point certification exam consisting of test questions and case studies. Certification must be renewed every three years.

    How do I Renew my certification?

    You must accumulate 15 Wolters Kluwer education credits within 3 years after initial certification. Education credits are available for most ComplianceOne training events in increments of 5 per event. You may obtain credits by participating in:

    • ComplianceOne Introductory training
    • ComplianceOne Beyond Beginner seminars, webinars and workshops
    • ComplianceOne Topic-of-the-Month webinars
    • Custom ComplianceOne training
    • Other ComplianceOne trainings to be as announced

    You may also obtain all 15 education credits by re-taking the certification examination.

    NOTE: 15 education credits are required every three years regardless of the number of certifications obtained. Whether you obtained one certification or all four, 15 education credits will fulfill all recertification requirements.

    How do I prepare?

    We’ll offer Certification Exam Preparation webinars that are designed to help you pass the exam and obtain certification. These webinars are encouraged but not mandatory. The instructor-led webinars are scheduled monthly and include information that may be included in the certification exams. This is not a substitute for introductory training, as this should be obtained prior to participating in certification. Participants may opt to take the exam without attending Preparation Training.

    Prep Webinars:

    • ComplianceOne Loan Administration Certification
      We’ll go beyond introductory training and discuss document policy settings, templates, security groups and access rights, fees, system settings, single source login, document print properties, variable rate setup, pricing guide, user-defined fields, credit life/disability insurance, debt cancelation protection, private mortgage insurance, global settings, and reports.
    • ComplianceOne Loan Operations Certification
      We’ll take an in-depth look into the How To’s of Loan Operations. Topics will include pledged collateral, advanced parties, advanced entities, payment structures, document data entry, Reg B Notice of Action Taken, escrow, PMI, and advanced documents (commercial loan agreement, construction loan agreement, architect agreements, and contractor agreements).
    • ComplianceOne Deposit Administration Certification
      We’ll discuss some of the most important aspects of effective deposit administration, including Reports, policies [Terms and Conditions, Reg E, Reg D Reserve Requirements, Reg CC, and TISA (step CD, exchange rate CD, and variable rate vs fixed)], document print properties (entering defaults), user defined fields, and updating rates.
    • ComplianceOne Deposit Operations Certification
      Take your deposit operations to a new level of efficiency. We’ll discuss IRAs [entering beneficiaries, selecting contribution types, selecting IRA types, selecting transaction types (new plan, new investment, and additions to existing investment or plan) post-opening transactions (contributions, distributions, 70½ elections, beneficiary elections, and recharacterizations)], UTMAs/UGMAs, Trusts, CESAs, HSAs, and SIMPLE IRAs, renewal CDs, exchange rate CDs, and step rate CDs. 

    How do I sign up?

    To register for a Certification Examination Preparation Webinar click here to view the current schedule and enroll.

    To register for and take a Certification Exam:

    • Click here to navigate to the Wolters Kluwer Financial Services Training Center
    • Enter your login credentials. If you have not yet created an account, click the Register button and complete the data.
    • Click the link in the confirmation email to confirm your profile registration.
    • Click “catalog” in the navigator in the left pane.
    • Expand the file folders and click on the ComplianceOne Exam(s) you wish to register.
    • On the course description screen, click “enroll”
    • Repeat for any additional exams you wish to enroll
    • To begin the exam, click the exam title in your list of enrolled courses.

    What is the cost?

    ComplianceOne Certification Program Pricing