Gallantree Platform
Training modules built for structured credit professionals.
Compliance, technical, and platform training delivered through interactive modules with AI-assisted coaching. FINRA / SEC CE aligned, trustee-ready, and tracked end to end.
BH20+
Training Modules
80%
Pass Threshold
12 mo
Certification Validity
AI
Coaching Included
Training Catalogue
Interactive modules across compliance, technical, and platform operations
AML / BSA / OFAC & KYC / KYB Compliance
Anti-Money Laundering, Bank Secrecy Act, and OFAC sanctions obligations under US federal law. Covers Customer Identification Programs (CIP), Customer Due Diligence (CDD), suspicious activity reporting (SAR / CTR), sanctions screening, and beneficial-owner rules.
Valid for 12 months after completion
Anti-Bribery and FCPA Module
Principles and practices under the US Foreign Corrupt Practices Act and the Gallantree Anti-Corruption Policy. Covers books-and-records obligations, third-party diligence, gifts and entertainment, facilitation payments, and the internal reporting framework.
Valid for 12 months after completion
Introduction to CRE-CLO, CLO, and RMBS Structures
Fundamental concepts in Commercial Real Estate CLOs, Corporate CLOs, non-agency Residential Mortgage-Backed Securities, and specialty ABS. Covers structure, tranching, credit enhancement, and waterfall mechanics.
Valid for 12 months after completion
Cybersecurity: Reg S-P, Reg S-ID, and NIST
Compliance with SEC Regulation S-P (safeguards, disposal) and Regulation S-ID (identity-theft red flags), aligned with the NIST Cybersecurity Framework and ISO/IEC 27001:2022. Covers data classification, encryption standards, key management, and incident response.
Valid for 12 months after completion
Directors, Officers, and Governance
Director and officer obligations under Delaware corporate law and SEC / FINRA rules. Covers fiduciary duties (care, loyalty, good faith), Caremark oversight, managing conflicts of interest, and governance best practices for BD / RIA holding structures.
Valid for 12 months after completion
Understanding Historical Examples of Financial Crimes
Case studies of significant financial crimes and their regulatory consequences. Covers fraud typologies, SEC and DOJ enforcement outcomes, and lessons for BD / RIA compliance frameworks.
Valid for 12 months after completion
Communications and SEC Marketing Rule
Obligations under FINRA Rule 2210 (retail communications), the SEC Marketing Rule (Rule 206(4)-1) for advisers, and internal social-media and confidentiality policies. Covers principal approval, recordkeeping, and testimonial / endorsement rules.
Valid for 12 months after completion
Institutional Sales and Reg BI
Institutional-client conduct standards, Regulation Best Interest (where applicable), fair-dealing obligations, and negotiation techniques applied to structured-credit deal contexts. Covers stakeholder management, documentation, and best-execution considerations.
Valid for 12 months after completion
FINRA Regulatory Element CE
FINRA Rule 1240 Regulatory Element continuing education, refreshed annually and synced to registrations held (Series 7, 24, 63, 79, 82, 87 as applicable). Delivered in-platform with completion reporting to CRD.
Valid for 12 months after completion
Platform Operations: Loan Management
End-to-end training on the Gallantree Platform loan management module. Covers loan onboarding, servicing workflows, payment processing, delinquency and default management, and Reg AB II reporting.
Valid for 12 months after completion
Platform Operations: Trustee Reporting
Trustee-specific training on covenant testing, concentration limits, OC / IC ratios, waterfall calculations, and Reg AB II / Rule 17g-7 submissions generated from the platform.
Valid for 12 months after completion
FINRA Firm Element CE
Firm Element continuing education under FINRA Rule 1240, tailored to Gallantree Securities LLC lines of business — structured credit, private placements, and institutional distribution.
Valid for 12 months after completion
AI-Assisted Learning
Guided by coaches, not just a quiz
Every module comes with an AI-powered coach that provides real-time tips, contextual explanations, and guidance as you work through each question. Coaches adapt to your responses and highlight areas that need attention, making each module a genuine learning experience rather than a box-ticking exercise.
Choose your coaching style and personality at the start of each module.
🥊
Coach: Rocky Balboa
“Alright, gloves on. Let's try not to get knocked out in the first round, yeah? Time to dance in the ring of finance! Read carefully, eliminate distractions, and keep your footwork sharp. You've got this!”
AI-Assisted Coaching
Each module includes an AI coach that provides contextual tips, explanations, and encouragement as you progress through the questions.
Adaptive Difficulty
Modules adjust to your responses. Coaches highlight areas where additional focus is needed and surface relevant reference material.
Pass Threshold
A minimum 80% score is required to complete each module. Unsuccessful attempts can be retried immediately with coach guidance.
Annual Renewal
Completions are valid for 12 months. FINRA Regulatory Element runs on an annual cycle synced to CRD; the platform tracks expiry dates and notifies staff when renewal is due.
Regulatory Alignment
Training aligned to the frameworks that matter
FINRA Continuing Education
Modules aligned with FINRA Rule 1240 Regulatory Element and Firm Element requirements for registered representatives. Coverage across Series 7, 24, 63, 79, 82, and 87.
Trustee Training
Modules designed for indenture trustees and their teams, covering platform navigation, covenant testing, waterfall mechanics, and Reg AB II reporting workflows.
BD / RIA Obligations
Staff training under FINRA broker-dealer and SEC investment adviser obligations, including WSPs, Code of Ethics, personal-trading policy, conflicts management, and best-execution standards.
CE / CPD Records
Completed modules contribute to Continuing Education and CPD records, sync to FINRA CRD where applicable, and are stored in the compliance platform.
Training that keeps your team compliant and capable
Request a walkthrough of how Gallantree training modules support compliance obligations, onboard new staff, and serve as trustee education tools.
Let's get started
Move forward
with Gallantree
Clear next steps for institutions ready to originate, structure and invest in US structured credit with confidence.