Learning Management · Finance

FINRA CE deadlines and AML training that do not slip through the cracks

In finance, a training gap shows up as a citation, a lawsuit, or a lost license, not just a missing checkbox. isolved Learn & Grow, resold and configured by BEG, assigns required courses by role, tracks completions and renewals, and gives you audit-ready proof on demand, for finance teams and all 50 states.

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One systemEvery course and completion in one place

Built for FinanceConfigured to your roles and requirements

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The Training Problem

Where training compliance actually bites in finance

Dec. 31

Annual Regulatory Element deadline

FINRA Rule 1240 requires every registered person to complete the Regulatory Element by December 31 each year for every registration held, with no grace period.

Annually

Firm Element training plan review cycle

Firms must evaluate and prioritize training needs at least once a year and maintain a written Firm Element plan tied to each registered person’s role.

31 U.S.C. 5334

Statutory AML training mandate

The AML Act of 2020 added a formal training requirement to the Bank Secrecy Act, and examiners expect role-specific, documented completion for anyone touching AML or SAR filing.

How It Works

From scattered training to one tracked system in three steps

BEG configures isolved Learn & Grow to your requirements

Your roles, required courses, and renewal schedules get built in around how finance actually trains, not a generic template.

Assign courses and upload your own content

Use the isolved course library or upload your own videos, documents, and quizzes, then assign them by role, location, or team.

Track completions and stay audit-ready

Every completion, score, and due date is tracked automatically, so your team stays current and you can prove it on demand.

What This Solves

Training built for how finance teams actually operate

Map Firm Element CE to each role

isolved learn and grow assigns Firm Element and product-specific coursework by registration type, so supervisors, reps, and ops staff each get what their role requires.

Track renewal and Regulatory Element deadlines

Registered persons and compliance officers see completion status against the December 31 Regulatory Element deadline before it becomes a finding.

Produce AML and SAR training records on demand

When an examiner or auditor asks for proof of BSA/AML training under 31 U.S.C. 5334, pull a complete, dated report instead of assembling one from spreadsheets.

Further reading and sources: FINRA Rule 1240, Continuing Education, FinCEN, the Bank Secrecy Act, Learning management system, overview.

Go Deeper

More on learning management and the rest of the BEG stack

See the platform itself

Inside isolved Learn & Grow: what the platform actually does.

Check pricing

See pricing for isolved Learn & Grow.

Payroll for your team

Managed payroll services, fully handled in your existing system.

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isolved HCM puts payroll, HR, time, benefits, and Learn & Grow on one platform.

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Questions

Learning management for finance, answered

Does isolved learn and grow track FINRA Regulatory Element deadlines by registration?

It tracks each registered person’s Regulatory Element status against the December 31 annual deadline under FINRA Rule 1240, and flags anyone approaching a lapse before it becomes a compliance gap.

Can we assign different AML training to tellers versus compliance staff?

Yes. You can build role-specific AML and BSA training tracks, since the AML Act of 2020 requires training tailored to each employee’s exposure to money laundering risk, and keep a dated completion record for examiners.

Can we upload our own training content?

Yes. Alongside the isolved course library, you can upload your own videos, documents, slide decks, and quizzes, so your specific finance training lives in one system.

What does isolved Learn & Grow cost?

It is bundled into the Grow tier of isolved HCM at no separate module charge. Your total is the Grow tier per-employee rate, which starts at $45 per employee per month and includes the full talent suite. Get an instant estimate on screen in about 90 seconds.

Do you serve employers in my state?

Yes. BEG configures and supports isolved Learn & Grow for finance employers in all 50 states, delivered remotely nationwide.

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Exact monthly and annual price - no call required