ComplianceOnline

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

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
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
FFIEC BSA/AML Examination Manual: What Compliance Officers Really Need to Know?
13
/ Aug
Thursday-2020

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

  • Speaker: John F Reynolds
  • 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
Purchasing Cards: Overcoming Risks and Creating an Effective Program
14
/ Aug
Friday-2020

Purchasing Cards: Overcoming Risks and Creating an Effective Program

  • Speaker: Brian G Rosenberg
  • Product ID: 704467
  • Duration: 60 Min
This training program will detail the components of a successful purchasing card program. It will also discuss implementing proper purchasing card controls, types of risk including fraud and misuse, auditing techniques, and more.
* Per Attendee
$199
Preparing for a BSA/OFAC Regulatory Examination
18
/ Aug
Tuesday-2020

Preparing for a BSA/OFAC Regulatory Examination

  • Speaker: William Schlameuss
  • Product ID: 703554
  • Duration: 60 Min
This webinar will address steps a company can take in advance to optimize the progress of a BSA/OFAC regulatory examination. It will provide guidelines for positively and accurately representing your AML and OFAC programs to regulators for the most efficacious outcome.
* Per Attendee
$149
How to Understand and Analyze Financial Statements for Non-Financial Professionals
9
/ Sep
Wednesday-2020

How to Understand and Analyze Financial Statements for Non-Financial Professionals

  • Speaker: Joe Weil
  • Product ID: 704958
  • Duration: 90 Min
This webinar will be an informative session for all financial and non-financial professionals to understand the financial statements like balance sheet, income statement, cash flow and more. Participants will learn how to analyze and interpret these statements to assess the profitability, liquidity, efficiency and leverage of their company.
* Per Attendee
$199
Streamlining your QMS and Audit System for Remote Audits
7
/ Oct
Wednesday-2020

Streamlining your QMS and Audit System for Remote Audits

  • Speaker: Betty Lane
  • Product ID: 703448
  • Duration: 60 Min
This webinar will cover creating of a value-added internal auditing program that is compliant to FDA cGMP/ Quality System Regulation and ISO 13485. It will include how to set up and manage the auditing system as well as how to conduct an internal audit and document the results and any nonconformities. It will discuss the value of a good internal auditing program.
* Per Attendee
$199
Writing an Effective SAR Narrative
14
/ Oct
Wednesday-2020

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.
* Per Attendee
$149
ACH Government Payment Processing - Handling Death Notification Entries (DNEs) and Reclamations
15
/ Oct
Thursday-2020

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 discuss details about how processing federal government payments differ from the NACHA Operating Rules. 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. Commercial reclamations differ from federal government reclamations; the speaker will cover the difference between the two.
* Per Attendee
$199
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
$249
Recorded/CD
Updates to the NACHA Operating Rule Changes 2020 and 2021

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.
CD/Recorded
$249
Recorded/CD
BSA/AML Compliance Checklists

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.
CD/Recorded
$349
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
BSA/AML Contextual Awareness of High Risk Customers

BSA/AML Contextual Awareness of High Risk Customers

  • Speaker: William Schlameuss
  • 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
Recorded/CD
AML Model Validation: A Critical Need in the New Regulatory Environment

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

  • Speaker: Dr. Frank Masi
  • 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.
CD/Recorded
$249
Recorded/CD
Implementing Operational Risk Management in Foreign Exchange Activities

Implementing Operational Risk Management in Foreign Exchange Activities

  • Speaker: Stanley Epstein
  • Product ID: 704115
  • Duration: 90 Min
This webinar seeks to provide a solid foundation to all parties involved in foreign exchange activities whether at executive, marketing, audit or operational levels into how the actual trading processes work, what the risks are and how these can be mitigated by using clearly defined standards of best practice.
CD/Recorded
$249
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
$249
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: William Schlameuss
  • 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
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
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: Candace Leuck
  • 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
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