Relevant Training Curriculum chapters can be found on the Resource Bank's main page.
This course was designed to demystify compliance, legal, and financial best practices by facilitating conversation and collaborative activities on these subjects. Course material focused on providing knowledge and tools to help Native CDFIs implement best practice compliance and risk mitigation processes to ensure they continue to meet the financial and legal obligations and are set up for continued community impact.
- Understand why and how to create a successful compliance program;
- Understand how an effective control system provides reasonable assurance for the safeguarding of assets, the reliability of financial information, and compliance with laws and regulations;
- Understand how to conduct a risk assessment and use it to mitigate and control risks;
- Understand how to ensure that a compliance program is effectively communicated to all employees;
- Understand the key competencies and best practices that characterize effective grants management; and
- Understand effective practices in meeting compliance and reporting requirements for Annual Certification Report (ACR) and CDFI Fund NACA FA/TA awards.
- Above Board: Compliance, Legal, and Financial Best Practices Presentation
- Above Board: Compliance, Legal, and Financial Best Practices Manual
- Above Board: Compliance, Legal, and Financial Best Practices Agenda
- Sample Policies: A collection of sample policies, including a Code of Conduct, Whistleblower Protection Policy, Informal Conflict of Interest Policy, Conflict of Interest Policy, Confidentiality policies, Document Destruction and Retention policy, and Compensation Review policy.
- Recommended Retention Periods: A simple guide to how long to retain different kinds of records.
- Nonprofit Financial Management Self Assessment Tool: A tool to self-assess an organization's financial health.
- Risk Matrix: A tool to perform a risk assessment for an organization.
The compilation of these documents was funded by the CDFI Fund, under Contract GS00Q14OADU119. The curriculum and opinions expressed in these documents are those of the authors, who are solely responsible for the content, and do not reflect the opinions of the CDFI Fund or any other person, entity, or organization.