ComplianceOnline

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.

Principles for the Management of Operational Risk
8
/ Jun
Wednesday-2022

Principles for the Management of Operational Risk

  • Speaker: Stanley Epstein
  • Product ID: 702286
  • Duration: 90 Min
This webinar highlights the evolution of operational risk management. The principles outlined in the Bank for International Settlements (BIS) report are based on best industry practice, supervisory experience and cover three overarching themes: governance, risk management and disclosure. We will look at the practicality of these principles and the implementation factors with each of them.
* Per Attendee
$199
Updates to the NACHA Operating Rule Changes 2022 and Beyond!
9
/ Jun
Thursday-2022

Updates to the NACHA Operating Rule Changes 2022 and Beyond!

  • Speaker: Donna K Olheiser
  • Product ID: 705048
  • Duration: 90 Min
The NACHA Operating Rules are always changing, updates have recently been made and continue to be in place due to the current COVID-19 situation! Four ACH Operations Bulletins posted by Nacha in 2020 explain the updates to the Rules due to changes at financial institutions and extensions of effective dates in light of the current situation; and confirming some Rules changes with current effective dates remaining.
* Per Attendee
$199
Guidelines for Performing a Corporate Wide Internal Audit Risk Assessment
15
/ Jun
Wednesday-2022

Guidelines for Performing a Corporate Wide Internal Audit Risk Assessment

  • Speaker: Marna Steuart
  • Product ID: 703775
  • Duration: 75 Min
Performing a corporate wide risk assessment is doable, and can provide internal audit and its organization a roadmap for the upcoming audit year. In this webinar, participants will learn how to maximize the time spent on the risk assessment process on an annual basis.
* Per Attendee
$199
Excel Spreadsheets; Ensuring Data Integrity and 21 CFR Part 11 Compliance
15
/ Jun
Wednesday-2022

Excel Spreadsheets; Ensuring Data Integrity and 21 CFR Part 11 Compliance

  • Speaker: David Nettleton
  • Product ID: 701582
  • Duration: 75 Min
Learn how to use Microsoft Excel spreadsheets for GXP data to ensure compliance with 21 CFR Part 11 and reduce validation cost and time.
* Per Attendee
$229
ACH Government Payment Processing - Handling Death Notification Entries (DNEs) and Reclamations
14
/ Jul
Thursday-2022

ACH Government Payment Processing - Handling Death Notification Entries (DNEs) and Reclamations

  • Speaker: Donna K Olheiser
  • Product ID: 704540
  • Duration: 90 Min

This 90-minute session will provide the details on what is different and how the Federal Government has adopted the NACHA Operating Rules and what the exceptions to those Rules incorporate for the Federal Government. You will learn what the Green Book is and how this valuable on-line tool will help you with processing DNE’s and Government Reclamations.

* Per Attendee
$199
Digital Payments 2022 - The future of Payments
14
/ Jul
Thursday-2022

Digital Payments 2022 - The future of Payments

  • Speaker: Stanley Epstein
  • Product ID: 704753
  • Duration: 120 Min
This webinar examines the current state of the payments industry - from the complexity of the current payments landscape, the growing range of bank and non-bank participants, the ever-increasing range of payments methods, interfaces and systems, open banking, regulation and the future payments scene. We also look at how the COVID-19 pandemic has and will continue to affect payments.
* Per Attendee
$199
Recorded/CD
Personal and Business Tax Returns Analysis - 1040 Federal Tax Returns, K-1 Forms and Tax Code Updates

Personal and Business Tax Returns Analysis - 1040 Federal Tax Returns, K-1 Forms and Tax Code Updates

  • Speaker: David L Osburn
  • Product ID: 705011
  • Duration: 90 Min
This personal and business tax returns analysis training program will focus on key areas such as 1040 federal tax returns, K-1 forms, and tax code updates and how they affect bank’s clients. It will also discuss the structure of a C corporation, S corporation, and Partnership (including LLC) tax return.
CD/Recorded
$249
Recorded/CD
Conducting Your 2022 Annual ACH Rules Compliance Audit - a Step-by-Step Guide

Conducting Your 2022 Annual ACH Rules Compliance Audit - a Step-by-Step Guide

  • Speaker: Donna K Olheiser
  • Product ID: 705082
  • Duration: 90 Min
This session will cover “step-by-step” the audit process and requirements for each participant conducting an annual ACH audit, to help ensure their compliance with the Nacha Operating Rules.
CD/Recorded
$299
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
$249
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
$249
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
Recorded/CD
Advanced Cash Flow Analysis-EBITDA, UCA Cash Flow, Cash Basis Cash Flow, Fixed-Charge Coverage and Free Cash Flow

Advanced Cash Flow Analysis-EBITDA, UCA Cash Flow, Cash Basis Cash Flow, Fixed-Charge Coverage and Free Cash Flow

  • Speaker: David L Osburn
  • Product ID: 705340
  • Duration: 90 Min
This webinar training will explore multiple models of both business and personal (business owner) cash flow analyses. Various cash flow projections and sensitivity analyses will also be explored. The webinar will conclude with commercial real estate (CRE) cash flow analysis and other related real estate investment cash flow models.
CD/Recorded
$249
Recorded/CD
AML High-Risk Transactions - Identify, Manage and Resolve

AML High-Risk Transactions - Identify, Manage and Resolve

  • 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.
CD/Recorded
$249
Recorded/CD
Developing a Risk-Based Audit Program

Developing a Risk-Based Audit Program

  • Speaker: Richard Cascarino
  • Product ID: 703566
  • Duration: 60 Min
In this webinar attendees will gain an understanding of how to develop a practical tailored action plan for their own audit function. Whether you have been charged with establishing a risk audit framework for your organization, want to increase the effectiveness of the existing risk-based audit process or wish to benchmark against emerging best practice, this is the webinar for you.
CD/Recorded
$249
Recorded/CD
Identity Issues in Banking - After the Breach, 26 Red Flags and More

Identity Issues in Banking - After the Breach, 26 Red Flags and More

  • Speaker: Jim George
  • Product ID: 704664
  • Duration: 60 Min
This webinar training helps attendees to understand the problems with 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.
CD/Recorded
$229
Recorded/CD
Monitoring High Risk Transactions

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.
CD/Recorded
$249
Recorded/CD
GAAP: Accounting for Inventory

GAAP: Accounting for Inventory

  • Speaker: Christy Foister
  • Product ID: 705203
  • Duration: 60 Min
For manufacturers and retailers inventory is one of the most valuable assets on the balance sheet. The cost of inventory is one of the largest expenses on the income statement. Practitioners and members in industry will benefit from this training program’s comprehensive guidance on inventory accounting issues.
CD/Recorded
$229
Recorded/CD
Anti-Kickback, Fraud, Stark, and Marketing - Where are the Landmines?

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

  • Speaker: William Mack Copeland
  • Product ID: 704950
  • Duration: 90 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.
CD/Recorded
$299
Recorded/CD
Human Error and Cognitive Load: How to Reduce Memory and Attention Failures

Human Error and Cognitive Load: How to Reduce Memory and Attention Failures

  • Speaker: Ginette M Collazo
  • Product ID: 704210
  • Duration: 60 Min
This training program will discuss the types of human error, the taxonomy of human error, human error reduction initiatives, individual performance, cognitive load and human error, cognitive load categories, and more.
CD/Recorded
$299
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
$229
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