ComplianceOnline

Internal Audit and Controls Training - Live Webinars, Recordings & CDs

Supply Chain and Product Compliance Using RoHS, REACH, and Conflict Minerals
11
/ Aug
Tuesday-2020

Supply Chain and Product Compliance Using RoHS, REACH, and Conflict Minerals

  • Speaker: Kelly Eisenhardt
  • Product ID: 703871
  • Duration: 60 Min
This training program will offer an in-depth look at three important product regulations focused on materials compliance and ethical sourcing, along with the tools and policies needed to implement them.
How to Prepare an Effective Audit Manual for an Internal Audit Department
12
/ Jan
Tuesday-2021

How to Prepare an Effective Audit Manual for an Internal Audit Department

  • Speaker: Marna Steuart
  • Product ID: 703684
  • Duration: 75 Min
This webinar will instruct attendees on how to develop an internal audit manual and offer start to finish instructions and templates on how to perform different types of audits given the project description. Audit fieldwork, audit reporting and follow-up, work-paper filing, and project closure are some of the other areas the webinar will cover.
* Per Attendee
$199
Report Writing for Auditing Professionals
9
/ Feb
Tuesday-2021

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.
* Per Attendee
$199
Guidelines for Performing a Corporate Wide Internal Audit Risk Assessment
18
/ Feb
Thursday-2021

Guidelines for Performing a Corporate Wide Internal Audit Risk Assessment

  • Speaker: Marna Steuart
  • Product ID: 703775
  • Duration: 75 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.
* Per Attendee
$199
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
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: Justin Muscolino
  • 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
Streamlining your QMS and Audit System for Remote Audits

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.
CD/Recorded
$249
Recorded/CD
Tax Evasion and Tax Fraud - What it means to you when monitoring BSA and filing SARs

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.
CD/Recorded
$249
Recorded/CD
How to Understand and Analyze Financial Statements for Non-Financial Professionals

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.
CD/Recorded
$249
Recorded/CD
How to Conduct High Quality Risk Assessments

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.
CD/Recorded
$349
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
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
How to Think Like a Crook - Money Laundering Prevention

How to Think Like a Crook - Money Laundering Prevention

  • Speaker: Doug Keipper
  • Product ID: 702770
  • Duration: 60 Min
This anti-money laundering training will describe the reasons and methods of money laundering in financial institutions. This will help attendees to protect themselves from regulatory risk by establishing an effective anti-money laundering system within their financial institution.
CD/Recorded
$199
Recorded/CD
Effective Vendor Risk Management

Effective Vendor Risk Management

  • Speaker: Mario Mosse
  • Product ID: 705193
  • Duration: 90 Min
Vendor risk management is an important component of a financial institution’s operational risk management program. This training program will examine how a sound vendor risk management program, including careful planning, due diligence and selection, and close oversight and monitoring during the life of the contract, is necessary to reduce the risks posed by the outsourcing of critical functions.
CD/Recorded
$229
Recorded/CD
Implementing P-Card Policies, Procedures, and Internal Controls Best Practices

Implementing P-Card Policies, Procedures, and Internal Controls Best Practices

  • Speaker: Chris Doxey
  • Product ID: 703920
  • Duration: 60 Min
This training program will discuss how purchasing cards (P Cards) provide a means for streamlining the procure-to-pay process, allowing organizations to procure goods and services in a timely manner, reduce transaction costs, track expenses, take advantage of supplier discounts, reduce or redirect staff in the purchasing and/or accounts payable departments, reduce or eliminate petty cash, and more. It will also illustrate how a P-Card program can create additional fraud risk and requires robust policies, procedures, and internal controls.
CD/Recorded
$249
Recorded/CD
New Paradigm in Risk Management and Compliance: How to Anticipate and Prepare for More Regulatory Scrutiny

New Paradigm in Risk Management and Compliance: How to Anticipate and Prepare for More Regulatory Scrutiny

  • Speaker: Fred Vacelet
  • Product ID: 705183
  • Duration: 60 Min
Understand the paradigm shift in credit risk, market risk and risk regulation. In this webinar training, we will prescribe an antidote against the dust of old risk management thinking, and submit views on what the post-crisis risk management ideas may be.
Recorded/CD
Employee Fraud Detection and Prevention

Employee Fraud Detection and Prevention

  • Speaker: Peter Goldmann
  • Product ID: 704040
  • Duration: 90 Min
This fraud training program will focus on understanding the fraud problem and what propels employees to commit fraud. The course will also offer essential fraud detection tools and techniques and highlight best practices for developing and implementing anti-fraud controls.
CD/Recorded
$249
Recorded/CD
Stress-Testing in Financial Institutions: Selecting Appropriate Scenarios

Stress-Testing in Financial Institutions: Selecting Appropriate Scenarios

  • Speaker: Fred Vacelet
  • Product ID: 705249
  • Duration: 60 Min
This webinar training on stress testing in financial institutions will depict scenarios, pitfalls to be avoided, and discuss how the choice of the right scenarios can provide good insight into strategic management of a financial institution.
CD/Recorded
$229
Recorded/CD
Key Ratio Analysis - Calculating and Interpreting the Numbers Correctly

Key Ratio Analysis - Calculating and Interpreting the Numbers Correctly

  • Speaker: David L Osburn
  • Product ID: 704967
  • Duration: 90 Min
This training program will provide financial professionals guidance on key ratio analysis. It will also detail a five-step analysis plan to calculate the key ratios covering liquidity, activity, leverage, operating performance, and cash flow analysis.
CD/Recorded
$229
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