ComplianceOnline

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

AML Model Validation: A Critical Need in the New Regulatory Environment
16
/ Jun
Wednesday-2021

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

  • Speaker: Doug Keipper
  • 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.
Calculating the Z-Score "Bankruptcy Predictor" Model
23
/ Jun
Wednesday-2021

Calculating the Z-Score "Bankruptcy Predictor" Model

  • Speaker: David L Osburn
  • Product ID: 705795
  • Duration: 90 Min
This webinar will teach how to calculate the Z-score and “correctly” interpret it based on a straight-forward scale. Five-step “key ratio analysis” plan (liquidity, activity, leverage, operating performance, and cash flow analysis) will be displayed and tied into the comprehensive calculation of the Z-score. The session will conclude with a review of using sophisticated software such as Moody’s Lending Cloud to calculate both the Z-score and key ratios.
* Per Attendee
$199
Managing AML/KYC Compliance Risk - CDD/EDD, Transaction Monitoring and More
30
/ Jun
Wednesday-2021

Managing AML/KYC Compliance Risk - CDD/EDD, Transaction Monitoring and More

  • Speaker: Doug Keipper
  • Product ID: 704599
  • Duration: 60 Min
This training program will examine how to manage the AML/KYC compliance risk, which is a critical element in a robust BSA/AML compliance program. It will also explore customer identification and on-boarding and CDD/EDD/on-going risk based monitoring.
* Per Attendee
$199
Building a World Class Accounts Payable Operation: P2P, AP
1
/ Jul
Thursday-2021

Building a World Class Accounts Payable Operation: P2P, AP

  • Speaker: Brian G Rosenberg
  • Product ID: 703979
  • Duration: 60 Min
This training program will help attendees examine if their AP department matches world-class standards. Attendees will learn key success factors to an optimal accounts payable operation. They will also gain in depth knowledge on the must-have technologies for any AP operation and learn how to design processes to fully leverage those capabilities. The webinar will also discuss balancing controls with efficiency and how to create a fraud-proof department. Attendees will learn about the most important metrics for any AP department and how to develop strategies to improve those metrics.
* Per Attendee
$179
Using Excel to Detect Fraud
6
/ Jul
Tuesday-2021

Using Excel to Detect Fraud

  • Speaker: Joe Weil
  • Product ID: 705022
  • Duration: 100 Min
This webinar training pays for itself in terms of your firm's potential savings and detection of fraud. The training is designed to both prevent and detect fraud. We first teach you how to establish an administrative environment where fraud is less likely to occur. We’ll then examine Excel tools that are used by CPAs and Internal Auditors to detect fraud.
* Per Attendee
$199
CDD and its expansion by the AML Act of 2020
15
/ Jul
Thursday-2021

CDD and its expansion by the AML Act of 2020

  • 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
Recorded/CD
1099 & W-9 Update - Complying with IRS Information Reporting Guidelines

1099 & W-9 Update - Complying with IRS Information Reporting Guidelines

  • Speaker: Miles Hutchinson
  • Product ID: 703220
  • Duration: 90 Min
This IRS regulatory compliance training will focus on the rules requiring W-9 documentation and 1099 reporting. Attendees will learn the best practices to ensure compliance with IRS and avoid B-Notices.
CD/Recorded
$249
Recorded/CD
Digital Payments 2021 - The future of Payments

Digital Payments 2021 - 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.
CD/Recorded
$299
Recorded/CD
ACH Government Payment Processing - Handling Death Notification Entries (DNEs) and Reclamations

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.

CD/Recorded
$249
Recorded/CD
Report Writing for Auditing Professionals

Report Writing for Auditing Professionals

  • Speaker: Phil Vassallo
  • Product ID: 703814
  • Duration: 90 Min
Skilled auditors require a method that aligns what they experienced during the reviewing process with what they compose during the writing process. This report writing workshop will provide foundation resources that participants can continually turn to during intense, complex audit engagements.
CD/Recorded
$249
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
Bank Secrecy Act Reporting Expectations - CTRs and SARs

Bank Secrecy Act Reporting Expectations - CTRs and SARs

  • Speaker: Doug Keipper
  • Product ID: 705443
  • Duration: 60 Min
This webinar will focus on the BSA reports and regulatory expectations including the requirements to file CTRs and SARs. Attendees will learn best practices to ensure AML compliance.
CD/Recorded
$179
Recorded/CD
The Essentials of Managing Operational Risk

The Essentials of Managing Operational Risk

  • Speaker: Stanley Epstein
  • Product ID: 702359
  • Duration: 90 Min
This course 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. Because external events are an Operational Risk factor we take a brief look at the COVID-19 pandemic.
CD/Recorded
$249
Recorded/CD
Conducting Your "NEW 2021" Annual ACH Rules Compliance Audit - a Step-by-Step Guide

Conducting Your "NEW 2021" 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
"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
CFPB's New Proposed Debt Collections Rules

CFPB's New Proposed Debt Collections Rules

  • Speaker: Justin Muscolino
  • Product ID: 706590
  • Duration: 60 Min
The CFPB's debt collection rules will have a major impact on how and when consumers are contacted to pay-off debt. The consequences of not complying can have severe consequences for businesses. This webinar will discuss businesses' and consumers' rights under the new rules.
CD/Recorded
$229
Recorded/CD
Managing the Alert/Case Clearing Investigation Process - BSA/AML/OFAC Compliance

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

  • Speaker: Doug Keipper
  • 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?
CD/Recorded
$249
Recorded/CD
Purchase Order Fundamentals

Purchase Order Fundamentals

  • Speaker: Kenneth Jones
  • Product ID: 705430
  • Duration: 90 Min
This webinar will cover the fundamentals of procurement process and how to use purchase order system. Attendees will lean best practices to avoid pitfalls when creating a purchase order.
CD/Recorded
$249
Recorded/CD
Excel: Power Pivot - Taking Pivot Tables to the Next Level

Excel: Power Pivot - Taking Pivot Tables to the Next Level

  • Speaker: Mike Thomas
  • Product ID: 705025
  • Duration: 60 Min

In this training attendees will learn how Power Pivot provides business Intelligence functionality and reporting within the familiar environment of Excel with practical examples. This webinar will discuss best practices for importing data into Excel from external sources, creating relationships in Power Pivot, Power Query data sources, and more.

CD/Recorded
$249
Recorded/CD
Writing High-Impact Executive Summaries

Writing High-Impact Executive Summaries

  • Speaker: Phil Vassallo
  • Product ID: 704127
  • Duration: 90 Min
This training program will help attendees approach the writing situation with a clear and useful strategy. It will include strategies to fuse the purpose of the summary with the issues that matter to your audience. Attendees will also learn to sort ideas to clarify key points and craft paragraphs that reinforce the intent of the executive summary.
CD/Recorded
$249
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