Risk Compliance Matrix for Internal Audit and SOX Operations - Active and Engaged Risk Management Activities
Product Id: 704809
21st century business organizations require active and engaged risk management activities. Today's risk and compliance process is rather complex and dynamic, therefore it requires governance, risk and compliance professionals to possess certain skills in order to effectively complete their duties and responsibilities. The days of using staid audit programs are over. This training program will engage participants in evaluating each business process using a risk-based approach and in preparing risk and compliance documentation for each engagement.
Product Id: 703775
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.
Product Id: 702286
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.
Product Id: 702359
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.
Product Id: 703728
Sound management of operational risk is an integral part of strong governance, risk and compliance (GRC) and enterprise risk management. In this session, the instructor will define operational risk and explain how to identify, quantify, manage, and control it. He will discuss why all employees must be cognizant of these risks in their day to day jobs and how an organization can better manage and control these risks that have resulted in the failure of several high profile firms and significant losses and unwanted press at others. The course will also review and discuss the building blocks and key players in implementing an effective ORM program that is integrated into the enterprise risk management framework.
Product Id: 702770
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.
Product Id: 703920
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.
Product Id: 702511
An SLA - which can be a legally binding formal or informal contract between two parties, must comply with operating norms, which describe how the process is governed, managed, and controlled. In this webinar we will provide you with critical information on SLA process.
Product Id: 705085
This training program will highlight common issues that occur over time with material compliance programs, and demonstrate how to address them. This can result in a more effective and responsive material compliance effort for your company.
BSA/ AML - Following the Money, the Difference between Money Laundering and Terrorist Financing and How to Combat Both
Product Id: 703055
This AML training will provide you the tools to identify the differences between money laundering and terrorist financing and how to protect your financial institute against potential criminal activity. It will also highlight the complexities of modern day proactive compliance departments.
David L Osburn
Product Id: 704759
This training program will review the three keys to success for any bank: marketing, financing, and management. The webinar will also include how to correctly interpret the bank’s financial statements including analyzing key numbers and ratios. Additionally, attendees will be exposed to how a bank’s overall success is measured including the CAMELS rating, Baurer Financial Rating, and Texas Ratio. Furthermore, various bank HR issues and the risk of cyber security threats will be outlined.
Product Id: 703455
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.
Chief Compliance Officer: What does it take to do the job? The Organization's and CCO's Responsibilities
Laura S Hargraves
Product Id: 703303
This webinar will explain how to select an effective Chief Compliance Officer (CCO) or Chief Risk Officer (CRO) best suited to the position. It will also review the skills needed to communicate the essence and structure behind a good compliance program.
Product Id: 703763
While there are innumerable ways to detect, prevent and investigate embezzlement, it is not always easy to organize a consistently effective anti-embezzlement strategy. This webinar will guide you through the common and not-so-common forms of embezzlement—with uniquely instructional case studies. It will emphasize the red flags of each and go on to highlight best practices in embezzlement risk mitigation.
Rayleen M Pirnie
Product Id: 705117
This webinar will break down the Board’s role in effective cybersecurity oversight, the 12 questions a board member should be knowing to answer, key principles of oversight, tips and resources for board.
Product Id: 703574
This webinar will review current requirements of the Bank Secrecy Act, why to comply, how to comply, reporting techniques and current positions by the IRS and FinCEN.
Product Id: 704949
This webinar will discuss how to implement and monitor risk policy. The instructor will explain the challenges and opportunities involved in developing and implementing an effective risk appetite statement, which is supported by risk limits, and the determination of actual exposure against those limits and risk tolerance.
Jonnie T Keith
Product Id: 703740
This webinar will provide the principles for writing an effective audit report. The audit report represents the end result of weeks of reviews, analyses, interviews and discussions. It is used to provide information to management on the areas you reviewed. And, more importantly, the report brings issues to their attention that needs to be addressed. How well you communicate that information is critical to getting the results you are seeking.
Product Id: 704819
True RBIA incorporates cascading the process through to each individual audit as well as the audit reporting process. The training program will focus on the establishment of a framework or methodology for RBIA and examine how to utilize risk based questions within the process steps.
Product Id: 704948
This webinar will discuss the significance, nature and types of KRIs. The instructor will discuss how to develop, evaluate and implement KRIs in accordance with organization’s risk culture and create strategies for effective reporting of risk indicators that lead to management action.