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Financial services
Case studies

Multi-state regulatory compliance program

National financial services firm · 1,000+ employees
  • 14 weeks for full program design, development, and LMS configuration
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01
Background
A national financial services firm operating across 12 states needed to unify its compliance training program. Each regional office had developed its own approach independently, creating significant inconsistency and growing regulatory risk.
02
The challenge
The existing program was a patchwork — some offices used vendor-provided courses, others relied on manager-led sessions, and a few had no formal program at all. Compliance pass rates varied from 55% to 80% across locations. Content updates after regulatory changes took 14 weeks to propagate, creating windows of exposure. A recent examination had flagged training documentation gaps, and leadership wanted a centralized, defensible program before the next review cycle.
03
Our approach
We built a modular curriculum architecture with two layers. The core layer covered federal regulations and company-wide policies — consistent across all locations. The jurisdiction layer added state-specific requirements assigned by employee location. Every module used scenario-based assessments that tested real decision-making, not just policy recall. Role-based learning paths in Cornerstone ensured each employee received the right content mix, and automated reporting gave compliance officers real-time visibility across all 12 states.

98%

Coverage in 60 days

67→87%

Assessment pass rate

14→6 wks

Update turnaround

Zero

Exam findings

Key takeaway

Fragmented compliance programs don’t just fail audits — they consume your best people. One unified system lets your compliance team stop chasing completions and start doing strategy.

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