Consumer E-Payments: Complying with Auditor's Standards - Understanding the Risks


Instructor: Ray Graber
Product ID: 705809

  • Duration: 60 Min
The objective of this training is to better understand the breadth of retail payments compliance issues and how to create a framework for reviewing both internal and third-party responsibilities for a successful audit.
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Why Should You Attend:

Financial institutions accept, collect, and process a variety of payment instruments and participate in clearing and settlement systems. In some cases, financial institutions perform all of these tasks. However, independent third parties are increasingly involved in this process, introducing new risks that affect the security of financial institutions.

Retail payment services expose financial institutions to numerous risks, including legal, compliance, strategic, operational, credit, and liquidity. Depending on the complexity of retail payment system activity, the scope of the examination may require an integrated team approach that includes the knowledge, skills, and expertise of IT, credit, and compliance specialists.

This E-Payments compliance training will outline and discuss the emerging market of electronic payments. We will talk about risk profiles and the quality of risk management practices as required from internal and external auditors. The primary objective of this session is to evaluate the effectiveness of the internal controls and risk management processes implemented by the financial institution and/or the technology service provider.

Areas Covered in the Webinar:

  • Assessing the risk level in consumer payments
  • Establishing the scope and objectives
  • Assessing the oversight quality
  • Quality of policies, procedures, and limits
  • Risk management and support for bank card issuance/acquiring
  • Risk assessment and support for:
    • EFT/POS processing
    • ACH processing
    • Emerging technologies
  • Conclusion

Who Will Benefit:

  • Financial Officers
  • Risk Officers
  • Internal Auditors
  • Operational Risk Managers
  • Business Managers
  • Controllers/Comptrollers
  • Accounting Managers and Staff
Instructor Profile:
Ray Graber

Ray Graber
President, Graber Associates LLC

Ray Graber is an SVP at the New England Automated Clearing House Association (NEACH). He brings a deep and thorough understanding of finance, banking, and technology. His business experience includes research and consulting at TowerGroup; best practices Internet security, policies, and procedures at FleetBoston; wire transfer operations and product launches at Citibank and BankBoston, and treasury operations for a $325 million public company.

He was an adjunct professor at the Carroll Graduate School of Management at Boston College where he taught E-Banking, MBA Leadership, Corporate Finance, and the Financial Management of Commercial Banks. At Bentley College’s Graduate Business Program he taught Working Capital Management and Cash Management.

Ray holds a Bachelor of Arts degree in Mathematics and an MBA in Finance and Computer Science from Boston College.

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