ComplianceOnline

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

Payments Fraud: Detect and Prevent Check, ACH and P-Card Schemes
26
/ Feb
Tuesday-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
Red Flags of Money Laundering
26
/ Feb
Tuesday-2019

Red Flags of Money Laundering

  • Speaker: William Schlameuss
  • Product ID: 703417
  • Duration: 60 Min
This webinar will explain what money laundering is, various types of money laundering including structuring, micro-structuring and cuckoo smurfing. Attendees will learn how to identify the red flags of money laundering in an account within your institution.
* Per Attendee
$199
SR Letter 11-7 - Supervisory Guidance on Model Risk Management
28
/ Feb
Thursday-2019

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
Mortgage Servicing Compliance: Meeting Extensive New Regulatory Expectations
28
/ Feb
Thursday-2019

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.
* Per Attendee
$199
Developing an Effective Fraud Risk Management Program
4
/ Mar
Monday-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
Writing an Effective SAR Narrative
5
/ Mar
Tuesday-2019

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
Preparing for a BSA/OFAC Regulatory Examination
12
/ Mar
Tuesday-2019

Preparing for a BSA/OFAC Regulatory Examination

  • Speaker: Vicki Landon
  • 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
Appraisal Function: What Many Banks Get Wrong
13
/ Mar
Wednesday-2019

Appraisal Function: What Many Banks Get Wrong

  • Speaker: Heidi Lee
  • Product ID: 705168
  • Duration: 90 Min
This training program will focus on the most important elements of the appraisal regulations that foster safety and improves financial institutions’ regulatory compliance. It will also discuss best practices for integration of the Interagency Appraisal and Evaluation Guidelines into an institution’s appraisal policy and practices, and outline the importance of a risk-based decision process within the appraisal function that is uninfluenced by other departments.
* Per Attendee
$199
Adjustable Rate Mortgage (ARM) Rule
19
/ Mar
Tuesday-2019

Adjustable Rate Mortgage (ARM) Rule

  • Speaker: Craig M Taggart
  • Product ID: 704514
  • Duration: 90 Min
This ARM training program will discuss the definition of “rural and underserved.” It will also discuss how that impacts your institution and considerations to be taken into account when establishing an ARM program. Attendees will gain an understanding of the documents needed to make an ARM program work.
* Per Attendee
$179
BSA/AML Compliance Checklists
19
/ Mar
Tuesday-2019

BSA/AML Compliance Checklists

  • Speaker: Gina Lowdermilk
  • 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
$199
BSA/AML - What is Old is New Again?
25
/ Mar
Monday-2019

BSA/AML - What is Old is New Again?

  • Speaker: Armen Khachadourian
  • Product ID: 703352
  • Duration: 90 Min
This webinar will provide attendees a clear understanding of the compliance department of the future. Attendees will learn the best practices to ensure BSA and AML compliance and avoid failure and fines.
* Per Attendee
$199
Red Flags and EDD for Non-Bank Financial Institutions
15
/ Apr
Monday-2019

Red Flags and EDD for Non-Bank Financial Institutions

  • Speaker: Vicki Landon
  • Product ID: 703536
  • Duration: 60 Min
This webinar will address the red flags that may indicate money laundering and fraud in non-bank financial institutions. It will also provide guidelines for conducting enhanced due diligence (EDD).
* Per Attendee
$199
AML Investigations and SAR Preparation
15
/ Apr
Monday-2019

AML Investigations and SAR Preparation

  • Speaker: Armen Khachadourian
  • Product ID: 704406
  • Duration: 90 Min
This training program will provide guidance in recognizing, investigating and reporting suspicious activities. It will also discuss instructions on implementing and maintaining an enterprise wide compliance program to safeguard the financial system from illicit use and combat money laundering and promote national security through the collection, analysis, and dissemination of financial intelligence to the regulatory authorities.
* Per Attendee
$199
Purchasing Cards: Overcoming Risks and Creating an Effective Program
17
/ Apr
Wednesday-2019

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
Mortgage Advertising: Keeping Your Promotions Compliant
23
/ Apr
Tuesday-2019

Mortgage Advertising: Keeping Your Promotions Compliant

  • Speaker: Craig M Taggart
  • Product ID: 704542
  • Duration: 90 Min
This mortgage advertising training program will discuss special requirements applicable to HELOC advertisements with introductory and promotional rates and the new TILA/RESPA disclosure required for written estimates of terms or costs. It will also offer best practices for reviewing mortgage advertisements to reduce compliance and UDAAP risks and tips on using the "one-click rule" to advertise mortgage loans on websites and in social media.
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
The Alarming State of Wire Transfer Fraud

The Alarming State of Wire Transfer Fraud

  • Speaker: Rayleen M Pirnie
  • Product ID: 705070
  • Duration: 90 Min
Wire transfer fraud has often rendered businesses and financial institutions helpless despite their best efforts to combat the threat. This training program will identify the red flags of common forms of wire transfer fraud and help understand how you can isolate your organization and help combat fraud. The webinar instructor will also review sound risk assessment practices to help minimize exposure.
CD/Recorded
$299
Recorded/CD
FinCEN Final Rule on Customer Due Diligence Requirements | BSA/AML Policy, CIP Procedure

FinCEN Final Rule on Customer Due Diligence Requirements | BSA/AML Policy, CIP Procedure

  • Speaker: Gina Lowdermilk
  • Product ID: 704927
  • Duration: 60 Min
This webinar will explain the requirements of the CDD Rule and its implications. The instructor will help Interpreting key definitions and type of information your institution will need to obtain from customers. He will also discuss how to identify potential changes/updates you may need to make to your BSA Policy, including CIP procedures, and account opening processes. Participants will gain understanding on recordkeeping requirements and understand the kinds of training the new rule requirements will necessitate.
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: 90 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
Refresher for Bankers:  Accounting Crash Course - All You Need to Know

Refresher for Bankers: Accounting Crash Course - All You Need to Know

  • Speaker: David L Osburn
  • Product ID: 704608
  • Duration: 60 Min
This training program will provide the banker with an effective overview of the basics/refresher of accounting. With the tools reviewed in this webinar, the often complex world of accounting will be presented in a straight-forward and useful manner. This is a must for all bankers looking to improve their knowledge of the vital discipline of accounting.
CD/Recorded
$249
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