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Home › Online Training ›  Audit & Inspection-Role

Audit and Inspection Training - Live Webinars, Recordings & CDs

The courses on this page cover pre-audit preparations, during audit processes, post-audit processes, Dos and Don'ts, and more. The programs cover regulatory audits, internal audits, and other quality audits. Browse our wide range of courses designed to help you identify your strengths and problem areas, find solutions, and boost your morale.
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Recorded/CD
FFIEC BSA/AML Examination Manual: What Compliance Officers Really Need to Know?

FFIEC BSA/AML Examination Manual: What Compliance Officers Really Need to Know?

  • Speaker: Doug Keipper
  • Product ID: 703792
  • Duration: 60 Min
This webinar will go through every section of the revised FFIEC Bank Secrecy Act/Anti-Money Laundering Examination Manual to highlight changes and areas where banks should review their internal policies, processes and procedures for compliance. Understanding these changes will keep you prepared and updated for your next BSA/AML examination.
CD/Recorded
$299
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Recorded/CD
1099 & W-9 Update - Complying with IRS Information Reporting Guidelines

1099 & W-9 Update - Complying with IRS Information Reporting Guidelines

  • Speaker: Miles Hutchinson
  • Product ID: 703220
  • Duration: 90 Min
For years the IRS has struggled with the independent contractor and tax collection. In assessing opportunities to close the tax gap (taxes due but not reported or paid), one of the greatest opportunities comes from expanding the information reporting on taxpayers by payors – the 1099. This time-consuming reporting obligation can be streamlined in a number of ways. Join us to learn more…
CD/Recorded
$299
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Recorded/CD
Writing an Effective SAR Narrative

Writing an Effective SAR Narrative

  • Speaker: Doug Keipper
  • Product ID: 702993
  • Duration: 60 Min
This BSA compliance training on Suspicious Activity Reporting (SAR) will provide details on how to prepare a SAR (Suspicious Activity Reporting) narrative that meets examiner scrutiny and provides necessary detail for law enforcement.
CD/Recorded
$249
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Recorded/CD
TIN Matching to Reduce Your B-Notices and Eliminate Proposed Penalties

TIN Matching to Reduce Your B-Notices and Eliminate Proposed Penalties

  • Speaker: Miles Hutchinson
  • Product ID: 703028
  • Duration: 90 Min
Learn the best practices for eliminating 1099 error notices from the IRS. Discover the power of the TIN Matching system. Discover the smoothest way to register to use the two step verification process introduced 12/10/17. Learn how to handle the CP-2100 notices from Uncle Sam and avoid the fines & penalties for failure to timely comply with the B-Notice requirements. Understand the difference between and 1st and 2nd B-Notice and the related differences in required vendor responses. Be sure you institute and stop Backup Withholding when required. Join us for a content-rich 2-hours and you will gain the tools to make you the most effective information return manager your company has ever seen.
CD/Recorded
$299
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Recorded/CD
HIPAA Audit and Enforcement Update for 2022 - HHS Keeps Pressure on Access, Privacy, and Security Compliance

HIPAA Audit and Enforcement Update for 2022 - HHS Keeps Pressure on Access, Privacy, and Security Compliance

  • Speaker: Jim Sheldon-Dean
  • Product ID: 705026
  • Duration: 90 Min
This webinar will discuss HIPAA audit and enforcement regulations and processes for 2022 and how they apply to covered entities and business associates. Attendees will learn how to prepare for HIPAA audit to avoid fines and penalties for HIPAA violations.
CD/Recorded
$279
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Recorded/CD
How FDA trains its investigators to review CAPA and what should you do to prepare

How FDA trains its investigators to review CAPA and what should you do to prepare

  • Speaker: Jeff Kasoff
  • Product ID: 700851
  • Duration: 60 Min
This CAPA investigation training will discuss techniques used by the FDA to review your CAPA system. You will learn what the FDA tells their inspectors to focus in the QSIT document and how your company can use the same QSIT document to prepare for inspection.
CD/Recorded
$279
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Recorded/CD
Recurring Deficiencies in Compilations and Reviews and How to Avoid Them - SSARS Procedures, Reports and Accounting Matters

Recurring Deficiencies in Compilations and Reviews and How to Avoid Them - SSARS Procedures, Reports and Accounting Matters

  • Speaker: Christy Foister
  • Product ID: 704538
  • Duration: 60 Min
This webinar will discuss common deficiencies that are discovered in compilation and review engagements, as a result of peer review. It will explain the difference between minor deficiencies and major deficiencies. Instructor will discuss how to avoid these common mistakes and what the most common deficiencies are.
CD/Recorded
$279
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Recorded/CD
Tax Evasion and Tax Fraud - What it means to you when monitoring BSA and filing SARs

Tax Evasion and Tax Fraud - What it means to you when monitoring BSA and filing SARs

  • Speaker: Doug Keipper
  • Product ID: 703110
  • Duration: 60 Min
This training on BSA compliance will help you understand the concept of tax evasion and tax fraud and the difference between the two. Learn the best practices to identify tax fraud and how to report suspicious activity.
CD/Recorded
$249
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Recorded/CD
The Physician Advisor's Role in Case Management

The Physician Advisor's Role in Case Management

  • Speaker: Laura Ostrowsky
  • Product ID: 705410
  • Duration: 60 Min
This webinar will focus on regulatory requirements, optimal processes and define the difference in collaboration with both internal and external physician advisor roles. It will also discuss the role of the physician advisor and staffing needs to implement this important role.
CD/Recorded
$279
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Recorded/CD
BSA/AML Contextual Awareness of High Risk Customers

BSA/AML Contextual Awareness of High Risk Customers

  • Speaker: Doug Keipper
  • Product ID: 705472
  • Duration: 60 Min
This webinar will highlight the steps to identify and evaluate high-risk customers. Learn how to perform BSA, AML risk assessments.
CD/Recorded
$0
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Recorded/CD
Auditing the Human Resource Function

Auditing the Human Resource Function

  • Speaker: Matthew W Burr
  • Product ID: 700648
  • Duration: 60 Min
This webinar will cover auditing human resources practices for compliance and liability to help identify and correct any areas that may not comply with applicable laws and/or do not comply with company policy.
CD/Recorded
$0
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Recorded/CD
IT Auditing - Principles and Practices for Executives and Directors

IT Auditing - Principles and Practices for Executives and Directors

  • Speaker: Robert Davis
  • Product ID: 702560
  • Duration: 60 Min
This IT Audit webinar facilitates an executive-level understanding of the ISACA IT Auditing Standards associated with performing IT assurance services and accepted areas of risk for most organizations through exposure to The Davis Adaptive IT Auditing System and Governance Tree frameworks. Webinar presents guidance following the general structure of planning, studying, testing, reporting, and follow-up. This structure can be applied broadly, or narrowly, defined IT audits.
CD/Recorded
$199
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Recorded/CD
Red Flags of Money Laundering

Red Flags of Money Laundering

  • Speaker: Doug Keipper
  • Product ID: 703417
  • Duration: 60 Min
This webinar will explain what money laundering is, various types of money laundering including structuring, micro-structuring and cuckoo smurfing. Attendees will learn how to identify the red flags of money laundering in an account within your institution.
CD/Recorded
$0
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Recorded/CD
How to Survive a DEA Inspection Series - For Manufacturers of Controlled Substances

How to Survive a DEA Inspection Series - For Manufacturers of Controlled Substances

  • Speaker: Carlos M Aquino
  • Product ID: 705164
  • Duration: 90 Min
This training covers DEA record-keeping and security topics that a DEA registrant must comply with when handling controlled substances. The focus is elements of what occurs during that unannounced inspection and the auditing methods.
CD/Recorded
$299
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Recorded/CD
Healthcare Fraud Webinar - False Claims, Stark, Anti-Kickback Statute, and Civil Monetary Penalties Law

Healthcare Fraud Webinar - False Claims, Stark, Anti-Kickback Statute, and Civil Monetary Penalties Law

  • Speaker: William Mack Copeland
  • Product ID: 703413
  • Duration: 60 Min
This webinar will explain the Civil Monetary Penalties Law (CMP) and its mandatory and permissive exclusions and penalties. It will also cover obligations under EMTALA, violations of the Anti-Kickback Statute and Stark including amendments under the PPACA.
CD/Recorded
$229
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Recorded/CD
How to Survive a DEA Inspection Series: For DEA Registered Analytical Labs and Research Facilities

How to Survive a DEA Inspection Series: For DEA Registered Analytical Labs and Research Facilities

  • Speaker: Carlos M Aquino
  • Product ID: 704617
  • Duration: 90 Min
The training program will cover DEA record-keeping requirements and effective security that a DEA registrant must comply with when handling controlled substances. It covers elements of what occurs during an unannounced inspection and the auditing methods.
CD/Recorded
$299
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Recorded/CD
HR Investigations: Conducting Workplace Misconduct Interviews

HR Investigations: Conducting Workplace Misconduct Interviews

  • Speaker: Matthew W Burr
  • Product ID: 700418
  • Duration: 60 Min
One of the most challenging tasks for any HR Professional or manager is investigating workplace misconduct. In this session participants will learn how to conduct such investigations & structure questions to get answers during the investigation process.
CD/Recorded
$0
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Recorded/CD
How to Conduct Successful Supplier Audits

How to Conduct Successful Supplier Audits

  • Speaker: Danielle DeLucy
  • Product ID: 704499
  • Duration: 60 Min
This training program will provide participants with a working knowledge of supplier audits. The why, when, who, how, and what of conducting a supplier audit will be reviewed to ensure that your supplier can meet all your expectations.
CD/Recorded
$0
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Recorded/CD
Health Canada Regulations on NHP's vs. FDA's Dietary Supplement Regulations

Health Canada Regulations on NHP's vs. FDA's Dietary Supplement Regulations

  • Speaker: Travis Austin MacKay
  • Product ID: 705497
  • Duration: 60 Min
This online training will offer an overview of what Health Canada considers to be a Natural Health product (NHP) and review Canadian regulatory requirements for Natural Health products. It will compare Canadian requirements with U.S. FDA requirements for marketing and labeling dietary supplements and convey an understanding of how they differ.
CD/Recorded
$0
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Recorded/CD
Report Writing for Auditing Professionals

Report Writing for Auditing Professionals

  • Speaker: Phil Vassallo
  • Product ID: 703814
  • Duration: 90 Min
Skilled auditors require a method that aligns what they experienced during the reviewing process with what they compose during the writing process. This report writing workshop will provide foundation resources that participants can continually turn to during intense, complex audit engagements.
CD/Recorded
$0
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