ComplianceOnline

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

FFIEC BSA/AML Examination Manual: What Compliance Officers Really Need to Know?
25
/ Jun
Tuesday-2019

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

  • Speaker: Gina Lowdermilk
  • 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.
* Per Attendee
$179
How to Conduct High Quality Risk Assessments
25
/ Jun
Tuesday-2019

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.
* Per Attendee
$199
Monitoring High Risk Transactions
26
/ Jun
Wednesday-2019

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
$149
How to Develop a Successful ERM Program Ensuring Synergy, Transparency and System Solutions
28
/ Jun
Friday-2019

How to Develop a Successful ERM Program Ensuring Synergy, Transparency and System Solutions

  • Speaker: Michael C Redmond
  • Product ID: 703580
  • Duration: 60 Min
This webinar highlights the importance of an effective ERM program in project management and risk assessment. Attendees will learn how to implement a viable ERM program including documenting and testing it.
* Per Attendee
$199
Excel Spreadsheets; Ensuring Data Integrity and 21 CFR Part 11 Compliance
10
/ Jul
Wednesday-2019

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
Time Extension Requests - A Checklist
11
/ Jul
Thursday-2019

Time Extension Requests - A Checklist

  • Speaker: Jim Zack
  • Product ID: 704345
  • Duration: 90 Min
This training program may well change the way in which you prepare or analyze the very next time extension request you have to deal with. It will discuss rules concerning time extension requests, arguments about waiver and apportionment of liquidated damages, concurrent delay issues and who has to prove concurrent delay, and more.
* Per Attendee
$149
Record Retention and Destruction Compliance
15
/ Jul
Monday-2019

Record Retention and Destruction Compliance

  • Speaker: David Sanders
  • Product ID: 704445
  • Duration: 90 Min
This training program will offer attendees an understanding of record schedule defensibility and best practices to take steps toward improvements. The IRS states entities need to be fully informed of the code relating to Record Retention and Destruction to determine what records are necessary to stay in compliance or face fines. According to IRS and state statistics of the entities audited over the past three years, 82% could not supply adequate records to pass an audit - resulting in substantial fines for non-compliance.
* Per Attendee
$199
How To Establish an Effective Chief Compliance Officer's (CCO) or Chief Risk Officer's (CRO) Function - Organization and Responsibilities
17
/ Jul
Wednesday-2019

How To Establish an Effective Chief Compliance Officer's (CCO) or Chief Risk Officer's (CRO) Function - Organization and Responsibilities

  • Speaker: Javier Kuong
  • Product ID: 700095
  • Duration: 120 Min
This training will provide valuable knowledge on what companies need to do to establish an "effective" Compliance Office that leads to conceiving, developing and implementing successful GRC programs and provides top level coordinating leadership for governance, risk management and compliance issues across the enterprise.
* Per Attendee
$199
Developing an Effective Fraud Risk Management Program
17
/ Jul
Wednesday-2019

Developing an Effective Fraud Risk Management Program

  • Speaker: Craig M Taggart
  • Product ID: 703862
  • Duration: 90 Min
The risk of fraud is just one of the many types of risks to be managed by an organization. But to let this risk fall out of focus can bring catastrophic results. Building an effective fraud risk management program to combat organizational fraud requires solid understanding of how and why fraud is perpetrated. This course will discuss the components of a fraudulent act, different types of fraud schemes and the impact fraud has on organizations. It will also analyze why individuals commit fraud and why the threat of punishment alone doesn’t deter potential fraudsters.
* Per Attendee
$199
Payments Fraud: Detect and Prevent Check, ACH and P-Card Schemes
17
/ Jul
Wednesday-2019

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.
* Per Attendee
$199
Implementing Operations Risk Management within an ERM Framework
19
/ Jul
Friday-2019

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
Tax Evasion and Tax Fraud - What it means to you when monitoring BSA and filing SARs
22
/ Jul
Monday-2019

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.
* Per Attendee
$199
Cyber Security : Dealing with Cyber Issues in Your Business Continuity Planning
22
/ Jul
Monday-2019

Cyber Security : Dealing with Cyber Issues in Your Business Continuity Planning

  • Speaker: Michael C Redmond
  • Product ID: 704820
  • Duration: 60 Min
This webinar training will discuss how to create, test and implement an effective cyber Incident program to counter cyber threat and malware attacks. The Instructor will explain how to measure an organisation’s susceptibility to a cyber attack and will outline critical action areas in such event.
* Per Attendee
$199
FATCA - Implications, Changes and How to Implement in a Foreign Financial Institution
25
/ Jul
Thursday-2019

FATCA - Implications, Changes and How to Implement in a Foreign Financial Institution

  • Speaker: Jason Simpson
  • Product ID: 702989
  • Duration: 60 Min
This training on Foreign Account Tax Compliance Act (FATCA ) will highlight the evolution of the Act and its current regulations. It will also provide attendees practical and effective methods for solid FATCA implementation along with tools for identifying FATCA specific complexities in order to avoid enforcement actions.
* Per Attendee
$199
Managing the Alert/Case Clearing Investigation Process - BSA/AML/OFAC Compliance
30
/ Jul
Tuesday-2019

Managing the Alert/Case Clearing Investigation Process - BSA/AML/OFAC Compliance

  • Speaker: John F Reynolds
  • Product ID: 704898
  • Duration: 60 Min
This webinar will discuss the current “industry best practice” for the alert/case management investigation process, and any guidance from the regulators. The instructor will cover a sample methodology meant to demonstrate what your institution may be doing, and opportunities to improve it. Participants will understand about the rules/scenarios thresholds that are leading to alerts/cases. It will help you answer
  • What is your escalation process?
  • What policies guide your investigation process?
  • What policies dictate when you file an alert/case?
* Per Attendee
$249
Recorded/CD
Mortgage Servicing Compliance: Meeting Extensive New Regulatory Expectations

Mortgage Servicing Compliance: Meeting Extensive New Regulatory Expectations

  • Speaker: Craig M Taggart
  • Product ID: 704480
  • Duration: 90 Min
This training program will discuss Fair Debt Collection Practices Act (FDCPA) rules, ARM (adjustable rate mortgage) change notification requirements, dealing with partial payments, providing payoff statements, and more.
CD/Recorded
$249
Recorded/CD
Bank Director Training - Directing from a Strategic and Tactical Perspective

Bank Director Training - Directing from a Strategic and Tactical Perspective

  • Speaker: David L Osburn
  • Product ID: 704759
  • Duration: 60 Min
This training program will review the three keys to success for any bank: marketing, financing, and management. The webinar will also include how to correctly interpret the bank’s financial statements including analyzing key numbers and ratios. Additionally, attendees will be exposed to how a bank’s overall success is measured including the CAMELS rating, Baurer Financial Rating, and Texas Ratio. Furthermore, various bank HR issues and the risk of cyber security threats will be outlined.
CD/Recorded
$249
Recorded/CD
Guidelines for Performing a Corporate Wide Internal Audit Risk Assessment

Guidelines for Performing a Corporate Wide Internal Audit Risk Assessment

  • Speaker: Marna Steuart
  • Product ID: 703775
  • Duration: 100 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.
CD/Recorded
$249
Recorded/CD
EDD what are the auditors looking for?

EDD what are the auditors looking for?

  • Speaker: Vicki Landon
  • Product ID: 703455
  • Duration: 90 Min
This webinar will explain the concept of Enhanced Due Diligence (EDD), including EDD time tables and checklist. Attendees will learn how to conduct Enhanced Due Diligence (EDD) that will satisfy the auditors.
CD/Recorded
$249
Recorded/CD
New Revenue Recognition Rules - Necessary Steps for a Transition

New Revenue Recognition Rules - Necessary Steps for a Transition

  • Speaker: David Sanders
  • Product ID: 704365
  • Duration: 90 Min
Revenue Recognition Rules are changing! Over the next three years companies will undergo a major change in recording revenue. This training program will help you to gain an understanding of the elements of New Revenue Recognition Rules, so you can prepare for this change by developing a program management team, updating business processes and internal controls, learning dependencies on data, and developing your revenue automation updates and IT involvement for the new standard.
CD/Recorded
$249
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