ComplianceOnline

Banking, Financial Services Regulatory Compliance Training - Live Webinars, Recordings & CDs

FinCEN Compliance for MSBs - Tricks to Maintaining Compliance
2
/ Jul
Thursday-2020

FinCEN Compliance for MSBs - Tricks to Maintaining Compliance

  • Speaker: Jack Bensimon
  • Product ID: 706223
  • Duration: 60 Min
This webinar will discuss how to most effectively and efficiently comply with the complex maze of FinCEN rules and regulations for MSBs (Money Service Business). Compliance does not have to be onerous and time-consuming. Discover tools and techniques that can simplify your processes while minimizing regulatory scrutiny.
* Per Attendee
$199
Monitoring High Risk Transactions
8
/ Jul
Wednesday-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
Employee Expense Reimbursement Fraud: Detection, Prevention and Deterrence
15
/ Jul
Wednesday-2020

Employee Expense Reimbursement Fraud: Detection, Prevention and Deterrence

  • Speaker: Peter Goldmann
  • Product ID: 702455
  • Duration: 90 Min
This 90-minute webinar will summarize the main types of reimbursement fraud to be alert to, and include an analysis of several “real life” case studies. It will explain how to identify the red flags of possible reimbursement fraud, offer specific fraud-audit techniques and test for these crimes and conclude with a rundown of proven anti-fraud controls.
* Per Attendee
$199
BSA/AML Hot Topics - What is on the Horizon
15
/ Jul
Wednesday-2020

BSA/AML Hot Topics - What is on the Horizon

  • Speaker: William Schlameuss
  • Product ID: 703495
  • Duration: 60 Min
This webinar will highlight current and potential BSA hot topics and areas of interest that are being acknowledged and recognized by regulators and examiners. It will look at these areas and the specifics of each area as it pertains to BSA.
* Per Attendee
$299
FinCEN's New CDD Rule - The New Fifth Prong of the AML
16
/ Jul
Thursday-2020

FinCEN's New CDD Rule - The New Fifth Prong of the AML

  • Speaker: Jim George
  • Product ID: 705602
  • Duration: 60 Min
The FinCEN has issued substantial new AML requirements focused on a major expansion of Know Your Customer into what is now Customer Due Diligence, CDD. This webinar will present various aspects of the requirements.
* Per Attendee
$199
Principles for the Management of Operational Risk
21
/ Jul
Tuesday-2020

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
Motivating Staff to Avoid Compliance Breaches
27
/ Jul
Monday-2020

Motivating Staff to Avoid Compliance Breaches

  • Speaker: Jack Bensimon
  • Product ID: 706228
  • Duration: 60 Min
This webinar will discuss ways to develop rewards and deterrence strategy to ensure staff are effectively motivated to comply with the firm’s policies & procedures. It’s often a matter of clarifying for staff what is expected of them to tailor their job, and how best they can satisfy compliance requirements without compromising their own performance. The goal is to turn this into a crusade without staff believing it to be so.
* Per Attendee
$199
SR Letter 11-7 - Supervisory Guidance on Model Risk Management
30
/ Jul
Thursday-2020

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.
* Per Attendee
$199
Weed, Cocaine and Heroin: What it Means to Your Bank or Credit Union?
30
/ Jul
Thursday-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
BSA/AML Compliance Checklists
30
/ Jul
Thursday-2020

BSA/AML Compliance Checklists

  • Speaker: John F Reynolds
  • Product ID: 703178
  • Duration: 60 Min
This training on the Bank Secrecy Act will highlight the development and implementation of BSA/AML Compliance Checklists. Attendees will learn the best practices to avoid BSA violations.
* Per Attendee
$299
Updates to the NACHA Operating Rule Changes 2020 and 2021
4
/ Aug
Tuesday-2020

Updates to the NACHA Operating Rule Changes 2020 and 2021

  • Speaker: Donna K Olheiser
  • Product ID: 705048
  • Duration: 90 Min
This webinar will provide all the details on the most recent and upcoming NACHA Operating Rules changes due to the current COVID-19 that affect you as a participant in the ACH network, whether you are an ODFI, an RDFI or a TPS (Third-Party Sender) or TPSP (Third Party Service Provider) to remain compliant with the amendments going into effect for 2020 and 2021. Multiple Rules Changes, NACHA Operations Bulletins, Supplements to the Rules along with examples and explanations of what they each mean to you as a participant will be discussed.
* Per Attendee
$199
BSA Training - Tips & Tools
6
/ Aug
Thursday-2020

BSA Training - Tips & Tools

  • Speaker: Doug Keipper
  • Product ID: 702832
  • Duration: 60 Min
This Bank Secrecy Act (BSA) program training will guide attendees through the methods to train each segment of the bank’s or credit union’s employees annually on Bank Secrecy Act. It can be used as a “Train the Trainer” course or as annual training for all employees.
* Per Attendee
$149
Filing IRS Form 1099-NEC & W-9 Update - Complying with IRS Information Reporting
11
/ Aug
Tuesday-2020

Filing IRS Form 1099-NEC & W-9 Update - Complying with IRS Information Reporting

  • Speaker: Miles Hutchinson
  • Product ID: 706545
  • Duration: 60 Min
For years the IRS has struggled with non-compliance by independent contractor and their tax payments. In assessing opportunities to close the tax gap (taxes due but not reported or paid), one of the greatest opportunities comes from expanding information reporting on taxpayers by payors – using forms 1099. For 2020 the IRS has added another form – the 1099-NEC. This time-consuming reporting obligation can be streamlined in a number of ways. Join us to learn more…
* Per Attendee
$179
Identity issues in Banking  - 26 Red Flags and More
12
/ Aug
Wednesday-2020

Identity issues in Banking - 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.
* Per Attendee
$199
Best Practices for Setting Up a Global International Trade Compliance Program
12
/ Aug
Wednesday-2020

Best Practices for Setting Up a Global International Trade Compliance Program

  • Speaker: Deep SenGupta
  • Product ID: 703708
  • Duration: 60 Min
Attend this webinar to learn how to evaluate the trade compliance risk for your worldwide subsidiaries and how to ensure that your worldwide subsidiaries are adequately managing their trade compliance risk.
* Per Attendee
$299
Recorded/CD
"Front-End, Middle, and Back-End" Approach to Credit Management

"Front-End, Middle, and Back-End" Approach to Credit Management

  • Speaker: David L Osburn
  • Product ID: 705808
  • Duration: 60 Min
This credit management webinar will discuss the credit analysis process, how to do financial statement analysis and how to do effective cash management using various tools and techniques and how to use various collection techniques (manage legal issues and using negotiation skills) and overall how to manage the collection process.
CD/Recorded
$299
Recorded/CD
Bank Secrecy Act: The Fundamentals - CIP, CDD, EDD, CTR and Current Issues

Bank Secrecy Act: The Fundamentals - CIP, CDD, EDD, CTR and Current Issues

  • Speaker: Jim George
  • Product ID: 705521
  • Duration: 60 Min
This webinar will help to understand the fundamental requirements of the BSA/AML statutes and Money Laundering strategies and techniques.
CD/Recorded
$229
Recorded/CD
The Essentials of Managing Operational Risk

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

GAAP: Accounting for Inventory

  • Speaker: Candace Leuck
  • 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
Critical Anti-Fraud Audits under Procurement and Accounts Payable

Critical Anti-Fraud Audits under Procurement and Accounts Payable

  • Speaker: Marna Steuart
  • Product ID: 703533
  • Duration: 60 Min
This webinar will explain how to perform anti-fraud audits in the purchasing/accounts payable cycle. It will discuss the use of Audit Control Language (ACL) and how this tool and other tools like it (IDEA) are helpful in the analysis of accounts payable and purchasing data.
CD/Recorded
$249
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