ComplianceOnline

Risk Management and Controls Regulatory Compliance Training - Live Webinars, Recordings & CDs

BSA/AML Contextual Awareness of High Risk Customers
26
/ Feb
Wednesday-2020

BSA/AML Contextual Awareness of High Risk Customers

  • Speaker: William Schlameuss
  • 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.
* Per Attendee
$199
TIN Matching and B Notices - How to Minimize the Paperwork from Complaints on IRS Information Returns
2
/ Mar
Monday-2020

TIN Matching and B Notices - How to Minimize the Paperwork from Complaints on IRS Information Returns

  • Speaker: Miles Hutchinson
  • Product ID: 703028
  • Duration: 90 Min
This IRS regulatory compliance training will explain the TIN matching system best practices to eliminate form 1099 reporting errors. It will also provide you the tools to effectively handle B- Notices in order to avoid fines and penalties.
* Per Attendee
$199
AML High-Risk Transactions and Correspondent Banking
3
/ Mar
Tuesday-2020

AML High-Risk Transactions and Correspondent Banking

  • Speaker: Jim George
  • Product ID: 704792
  • Duration: 90 Min
This webinar will discuss the techniques for controlling and managing High Risk Transaction. The Instructor will discuss the parameters for identifying and qualifying transactions as high risk and process and communication to be followed. He will also discuss how to resolve the end result.
* Per Attendee
$199
Introduction to Root Cause Investigation for CAPA
10
/ Mar
Tuesday-2020

Introduction to Root Cause Investigation for CAPA

  • Speaker: Vanessa Lopez
  • Product ID: 704409
  • Duration: 60 Min
This CAPA training program will provide an understanding of FDA and ISO requirements, steps in CAPA process and the challenges associated to root cause analysis. Attendees will learn the tools and quality data sources to use during root cause analysis investigation.
* Per Attendee
$229
New Paradigm in Risk Management and Compliance: How to Anticipate and Prepare for More Regulatory Scrutiny
10
/ Mar
Tuesday-2020

New Paradigm in Risk Management and Compliance: How to Anticipate and Prepare for More Regulatory Scrutiny

  • Speaker: Fred Vacelet
  • Product ID: 705183
  • Duration: 60 Min
Understand the paradigm shift in credit risk, market risk and risk regulation. In this webinar training, we will prescribe an antidote against the dust of old risk management thinking, and submit views on what the post-crisis risk management ideas may be.
* Per Attendee
$199
Implementing Operations Risk Management within an ERM Framework
11
/ Mar
Wednesday-2020

Implementing Operations Risk Management within an ERM Framework

  • Speaker: Mario Mosse
  • Product ID: 703728
  • Duration: 90 Min
Sound management of operational risk is an integral part of strong governance, risk and compliance (GRC) and enterprise risk management. In this session, the instructor will define operational risk and explain how to identify, quantify, manage, and control it. He will discuss why all employees must be cognizant of these risks in their day to day jobs and how an organization can better manage and control these risks that have resulted in the failure of several high profile firms and significant losses and unwanted press at others. The course will also review and discuss the building blocks and key players in implementing an effective ORM program that is integrated into the enterprise risk management framework.
* Per Attendee
$199
Monitoring High Risk Transactions
12
/ Mar
Thursday-2020

Monitoring High Risk Transactions

  • Speaker: Doug Keipper
  • Product ID: 703001
  • Duration: 60 Min
This BSA/AML (Bank Secrecy Act/ Anti Money Laundering) compliance training will help attendees understand, identify and mitigate the risks associated with high risk transactions.
* Per Attendee
$199
Anti-Kickback, Fraud, Stark, and Marketing - Where are the Landmines?
18
/ Mar
Wednesday-2020

Anti-Kickback, Fraud, Stark, and Marketing - Where are the Landmines?

  • Speaker: William Mack Copeland
  • Product ID: 704950
  • Duration: 120 Min
This webinar will provide an in-depth understanding of the Federal False Claims Act, Federal Anti-Kickback and Stark laws, and discuss how marketing activities can trigger either or both.
* Per Attendee
$229
The Essentials of Managing Operational Risk
18
/ Mar
Wednesday-2020

The Essentials of Managing Operational Risk

  • Speaker: Stanley Epstein
  • Product ID: 702359
  • Duration: 90 Min
This webinar provides a systematic approach covering the fundamental steps needed to manage operational risks in banks and financial institutions. Based on the three-core approach to operational risk management, it expands into critical issues such as risk analysis, risk appetite, probability, impact, and risk mitigation processes.
* Per Attendee
$199
How to write SOP's that Avoid Human Error
19
/ Mar
Thursday-2020

How to write SOP's that Avoid Human Error

  • Speaker: Ginette M Collazo
  • Product ID: 704418
  • Duration: 90 Min
This training program will address the common human errors and deviations related to the use of procedures. It will also offer best practices for writing SOP’s to reduce the likelihood of human errors.
* Per Attendee
$249
Designing and Using KPI's and Performance Dashboard
20
/ Mar
Friday-2020

Designing and Using KPI's and Performance Dashboard

  • Speaker: Miles Hutchinson
  • Product ID: 703405
  • Duration: 90 Min
This webinar will explain how to design, implement and monitor critical Key Performance Indicators (KPIs) using powerful performance dashboards.
* Per Attendee
$199
Weed, Cocaine and Heroin: What it Means to Your Bank or Credit Union?
25
/ Mar
Wednesday-2020

Weed, Cocaine and Heroin: What it Means to Your Bank or Credit Union?

  • Speaker: Doug Keipper
  • Product ID: 705440
  • Duration: 60 Min
This webinar will focus on the today’s marketplace for weed, cocaine and opioids including heroin. It will cover topics such as FinCEN’s expectations regarding Marijuana-related businesses, drug enforcement agency fact sheets, FBI and DEA documentary on opioid abuse, summary review of transactions and much more.
* Per Attendee
$199
Effective Vendor Risk Management
31
/ Mar
Tuesday-2020

Effective Vendor Risk Management

  • Speaker: Mario Mosse
  • Product ID: 705193
  • Duration: 90 Min
Vendor risk management is an important component of a financial institution’s operational risk management program. This training program will examine how a sound vendor risk management program, including careful planning, due diligence and selection, and close oversight and monitoring during the life of the contract, is necessary to reduce the risks posed by the outsourcing of critical functions.
* Per Attendee
$199
Handling OOS Test Results and Completing Robust Investigations
9
/ Apr
Thursday-2020

Handling OOS Test Results and Completing Robust Investigations

  • Speaker: Danielle DeLucy
  • Product ID: 704351
  • Duration: 90 Min
This webinar will review the regulatory requirements for investigating an OOS Investigation. The responsibilities of the analyst, the supervisor and QA will be discussed. A detailed flow chart will be used to help the attendees clearly understand the steps and the order in which they are to be performed. The structure of an Investigation report which properly documents the investigation will be discussed.
* Per Attendee
$249
How to Think Like a Crook - Money Laundering Prevention
16
/ Apr
Thursday-2020

How to Think Like a Crook - Money Laundering Prevention

  • Speaker: Doug Keipper
  • Product ID: 702770
  • Duration: 60 Min
This anti-money laundering training will describe the reasons and methods of money laundering in financial institutions. This will help attendees to protect themselves from regulatory risk by establishing an effective anti-money laundering system within their financial institution.
* Per Attendee
$149
Recorded/CD
Surviving an FDA Sponsor Inspection - Training for Success

Surviving an FDA Sponsor Inspection - Training for Success

  • Speaker: Stephen Schwartz
  • Product ID: 704516
  • Duration: 105 Min
This training program will review a case study derived from actual inspections wherein FDA performed a sponsor site inspection having already audited three of the investigator sites. FDA was aware from these site audits of potential serious noncompliance issues. The course will also discuss Sponsor/CRO/investigator relationship issues from these three site audits.
CD/Recorded
$429
Recorded/CD
Identity Issues in Banking - 26 Red Flags and More

Identity Issues in Banking - 26 Red Flags and More

  • Speaker: Jim George
  • Product ID: 704664
  • Duration: 60 Min
This webinar training helps attendees understand the 26 Red flags released by federal regulators in regards to identity fraud. The instructor will discuss how to create and implement the fraud control program and Identity solutions to combat ID theft and reduce future losses. Participants will also learn strategies on fraud prevention, detection and investigation.
CD/Recorded
$249
Recorded/CD
Anti-Fraud Controls in Payroll: Prevent Before It's Too Late

Anti-Fraud Controls in Payroll: Prevent Before It's Too Late

  • Speaker: Peter Goldmann
  • Product ID: 705257
  • Duration: 90 Min
This 90-minute webinar will help attendees discover the various types of payroll scams, how to recognize key signs of fraud, and ways to prevent and eliminate payroll fraud. It will further offer best practices to use in payroll audits to defend against fraud and negligence.
CD/Recorded
$249
Recorded/CD
AML Model Validation: A Critical Need in the New Regulatory Environment

AML Model Validation: A Critical Need in the New Regulatory Environment

  • Speaker: Dr. Frank Masi
  • Product ID: 704227
  • Duration: 60 Min
This training program will discuss the history and origin of a model validation. It will also discuss the requirements by the OCC for a model validation, and what exactly a model validation should include. The session will also analyze the elements of a model validation to know what to look for in an RFP, and detail the requirements included in Final Rule 504.
CD/Recorded
$249
Recorded/CD
How to Conduct High Quality Risk Assessments

How to Conduct High Quality Risk Assessments

  • Speaker: Mario Mosse
  • Product ID: 704994
  • Duration: 90 Min
This training program will help articulate your business objectives and define the scope of your risk assessment. It will guide attendees in identifying the most appropriate risk assessment technique and plan and facilitate a risk assessment. Further, the session will help tailor a risk matrix to enable you to rate your risks.
CD/Recorded
$249
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