BR-ANAC-PLH study plan
BR-ANAC-PLH · Give each week a clear focus.
8 weeks · About 6 hours per week
Regulatory Framework and Governance & Compliance Program Design and Risk Assessment
Map each element of the regulatory framework to its supervising authority and state the practical consequence of non-compliance
Draft a one-page summary of the governance structure that assigns accountability for compliance decisions
Build a risk register template with likelihood, impact, and residual-risk columns and populate it with five realistic scenarios
Explain in writing how a compliance program's design flows from the entity's risk profile
Your checkpoint
A two-page governance-and-risk memo containing the authority map, five populated risk register entries, and a one-paragraph rationale linking program design to risk profile
Compliance Program Design and Risk Assessment & Policies, Procedures, and Internal Controls
Complete a full risk assessment for a hypothetical institution using the register from week 1
Translate the top three risks into specific policy requirements
Write procedures that convert each policy requirement into a step a front-line employee can perform
Identify at least two internal controls per risk and label each as preventive or detective
Your checkpoint
A risk assessment package: completed register, three policy statements, matching procedures, and a control matrix with preventive/detective labels
Policies, Procedures, and Internal Controls & Regulatory Framework and Governance
Test each drafted control against a simulated transaction to confirm it would actually catch or prevent the failure
Revise any control that fails the walkthrough and document the reason for the change
Reconcile the policy set against the regulatory requirements mapped in week 1 to find gaps
Produce a gap log with an owner and target date for each finding
Your checkpoint
A control walkthrough log covering at least five controls, plus a gap log with owners and dates
Monitoring, Auditing, and Testing & Policies, Procedures, and Internal Controls
Design a monitoring plan that specifies frequency, sample size, and responsible party for each control
Write test scripts for three key controls, including the evidence to be examined
Distinguish monitoring from independent audit and assign each activity to the correct function
Draft a finding write-up in the standard format: condition, criteria, cause, effect, recommendation
Your checkpoint
A monitoring and testing plan with three complete test scripts and one sample finding write-up
Monitoring, Auditing, and Testing & Reporting, Investigation, and Remediation
Execute the test scripts against sample data and record pass or fail with supporting evidence
Convert failed tests into remediation actions with owners and deadlines
Outline an investigation protocol covering intake, scoping, evidence preservation, and escalation
Draft a case file checklist that an investigator would use from intake through closure
Your checkpoint
A testing results summary with remediation tracker plus a one-page investigation protocol and case file checklist
Reporting, Investigation, and Remediation & Enforcement, Sanctions, and Case Handling
Write a remediation plan that addresses root cause rather than only the symptom
Distinguish the reporting obligations that attach to different event types and state who must be notified
Summarize how enforcement actions escalate and what mitigating factors reduce sanctions
Prepare a short case brief on a hypothetical violation tracing it from detection through sanction
Your checkpoint
A remediation plan with root-cause analysis and a two-page case brief covering detection, reporting, and sanction
Training and Communication & Ethics, Integrity, and Professional Conduct
Design a training curriculum that targets the highest risks identified in week 2
Build a short knowledge check and set a passing threshold with a remediation path for failures
Draft a communication plan specifying audience, channel, and cadence for compliance messages
Write a code-of-conduct scenario exercise that forces a judgment call on an integrity dilemma
Your checkpoint
A training and communication package: curriculum outline, ten-question knowledge check with answer key, communication calendar, and one ethics scenario exercise
Data, Records, and Confidentiality Management & Monitoring, Auditing, and Testing & Enforcement, Sanctions, and Case Handling
Draft a records retention schedule that assigns a retention period and owner to each record class
Specify handling rules for confidential and personal data, including access, transfer, and disposal
Run a full timed practice exam and score it by domain
Build a final review sheet limited to the three domains with the lowest practice scores
Your checkpoint
A retention schedule, a confidentiality handling one-pager, a scored practice exam with domain breakdown, and a one-page targeted review sheet
Milestones
Week 2: Risk register is complete with likelihood, impact, and residual risk for at least five scenarios, and each of the top three risks has a matching policy statement
Week 4: Every control in the matrix has a named owner, a monitoring frequency, and a written test script; the gap log from week 3 is fully closed or has dated owners
Week 6: At least three controls have been tested with recorded evidence, and each failure has a remediation action with an owner and deadline; the investigation protocol is complete
Week 8: Practice exam score is at or above the target passing threshold overall, and no domain scores below 70 percent on the domain breakdown