Finance & Banking Edition
🏦 Financial Services Compliance

SEC / FINRA compliance training,
without the paperwork.

PARIE trains your staff on AML, Dodd-Frank Consumer Protection, FINRA Supervision Rules and GDPR — generates the quiz, issues tamper-evident certificates and gives your Chief Compliance Officer a one-click audit report. SEC / FINRA inspection ready, always.

$millions
SEC / FINRA fines for compliance gaps
12
Languages supported
100%
Digital audit trail
Why Chief Compliance Officers choose PARIE
Dodd-Frank Consumer Protection regulation requires firms to prove that every customer-facing employee understands their obligations — not just that training was made available. PARIE provides timestamped, tamper-evident completion records and individual certificates that satisfy SEC / FINRA evidence requirements. When a regulator asks "show me your training records," you click one button.
Compliance requirements PARIE covers
🔍
Anti-Money Laundering
AML awareness, suspicious activity reporting, Know Your Customer procedures and MLRO responsibilities for all relevant staff.
Bank Secrecy Act / FinCEN
👥
Consumer Duty
Dodd-Frank Consumer Protection obligations including good outcomes, price and value, consumer understanding and consumer support.
Dodd-Frank Act
🏛️
Supervision Rules
Senior Managers and Certification Regime training — responsibilities, conduct rules and annual certification requirements.
FINRA Supervision Rules
🔒
GDPR & Data Protection
CCPA / HIPAA obligations, customer data handling, breach reporting and the rights of data subjects for financial services firms.
CCPA / HIPAA
📊
Market Abuse
Market Abuse Regulation training — insider trading, market manipulation and suspicious transaction reporting for regulated staff.
SEC / FINRA Rules
🤝
Anti-Bribery & Corruption
FCPA (Foreign Corrupt Practices Act) obligations, gifts and hospitality policy, facilitation payments and third-party due diligence procedures.
FCPA
Real-time compliance dashboard
Nexus Bank
📊 Overview
👥 Staff
📋 Records
⬇ Export
86
Total Staff
82
Certified
4
Pending
95%
Pass Rate
Staff MemberModuleScoreDateStatus
Charlotte WebbAML Policy 202694%25 Mar 2026Passed
Marcus ReidConsumer Duty88%24 Mar 2026Passed
Isabelle ChenSMCR Training91%23 Mar 2026Passed
Daniel OseiAML Policy 2026——Pending
Auto-issued certificate
🏆
This certifies that
Charlotte Webb
has successfully completed
Anti-Money Laundering Policy 2026
Nexus Bank
✓ Score: 94% — Pass
PARIE-2026-NB-00312

SEC / FINRA inspection ready — always.

Every staff member trained. Every certificate logged. Every audit trail complete. Starting today.

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