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Home › Online Training ›  Risk Management & Controls

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

The risk management courses on this page are designed to help you strengthen your professional profile and add value to your organization. These courses will help you get insights associated with the numerous laws pertaining to risk management. You will learn how to manage business risks such as developing risks around competition, operational strategies, vendor risk management, establishing meaningful metrics, avoiding decision-making errors, and much more.
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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
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
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
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
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 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
Handling OOS Test Results and Completing Robust Investigations

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.
CD/Recorded
$0
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Recorded/CD
Dealing with and Preventing Leave Abuse under FMLA, ADA and Workers' Comp

Dealing with and Preventing Leave Abuse under FMLA, ADA and Workers' Comp

  • Speaker: Janette Levey Frisch
  • Product ID: 704368
  • Duration: 120 Min
This webinar will help you get a working knowledge of how you can minimize your company’s exposure to employee abuse of family and medical leave – be it under the FMLA, ADA, or workers’ comp or other applicable family and medical leave laws.
CD/Recorded
$189
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Recorded/CD
Payments Fraud: Detect and Prevent Check, ACH and P-Card Schemes

Payments Fraud: Detect and Prevent Check, ACH and P-Card Schemes

  • Speaker: Peter Goldmann
  • Product ID: 704774
  • Duration: 90 Min
This training program will examine vendor/billing schemes that exploit payments process control weaknesses; latest electronic payments schemes (ACH hijacking, spear-phishing, social engineering); check counterfeiting, forgery and tampering schemes to be aware of; and, detecting common external payments schemes versus internal attacks.
CD/Recorded
$0
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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
$199
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Recorded/CD
Implementing Operations Risk Management within an ERM Framework

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.
CD/Recorded
$0
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Recorded/CD
Introduction to Root Cause Investigation for CAPA

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.
CD/Recorded
$0
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Recorded/CD
Supplier and Service Provider Controls: FDA Expectations

Supplier and Service Provider Controls: FDA Expectations

  • Speaker: Vanessa Lopez
  • Product ID: 704844
  • Duration: 120 Min
This training program will provide regulatory requirements (US) of 21 CFR Section 820.50 (purchasing control) for the medical device industry and illustrate the same with examples. It will furnish details on what purchasing/supplier control management systems should address.
CD/Recorded
$0
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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
$189
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Recorded/CD
SR Letter 11-7 - Supervisory Guidance on Model Risk Management

SR Letter 11-7 - Supervisory Guidance on Model Risk Management

  • Speaker: Mario Mosse
  • Product ID: 703995
  • Duration: 90 Min
This training program will detail why SR Letter 11-7 has become the gold standard for model risk management, with its principle being adopted not only by banks but also virtually all U.S. financial institutions.
CD/Recorded
$199
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Recorded/CD
Weed, Cocaine and Heroin: What it Means to Your Bank or Credit Union?

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.
CD/Recorded
$189
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Recorded/CD
How to Think Like a Crook - Money Laundering Prevention

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.
CD/Recorded
$179
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Recorded/CD
Effective Vendor Risk Management

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.
CD/Recorded
$189
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