Product Id: 700986
This session will include the requirements for all of the complaint handling responsibilities, which will include defining, documenting, and implementing a complaint-handling system, the requirements for complaint review, investigation, and corrective action, as well as ISO-specific implications. Also covered will be a discussion of what constitutes a complaint, and recommended practice on how to handle "non-complaint" feedback. Also covered will be the application of risk management to a complaint handling system, and a specific risk management system explained.
Process for Performing a Vendor/Contract Audit: What Should be Considered and How to Plan, Perform and Report Results of a Vendor Audit
Product Id: 706219
Attend this webinar to learn about the different contract terms, different ways to determine the scope of the audit given contract terms and conditions, how to plan, perform and report results of a vendor audit.
Product Id: 703417
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.
Brian G Rosenberg
Product Id: 704467
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.
Donna K Olheiser
Product Id: 705048
This session will provide the for changes to the Same Day ACH (SDA) environment (effective March 2021), the Unauthorized Return process with a new Return Reason Code R11 and the ACH Contact Registry (both effective right now in 2020 – NEW!!! and more! Details on the new proposed amendment to the Nacha Operating Rules regarding Account Information Improvements Through the ACH Network, with a proposed effective date of March 18, 2022. PLUS, Limitation on Warranty Claims, the Reversal Process and Rules Enforcement changes surrounding reversals, and Meaningful Modernization to enhance the ACH Network to keep up with changes in the payments landscape (all effective in 2021).
Product Id: 701582
Learn how to use Microsoft Excel spreadsheets for GXP data to ensure compliance with 21 CFR Part 11 and reduce validation cost and time.
Ginette M Collazo
Product Id: 704107
This training program will offer attendees an understanding of human errors in GMP related environments, factors and causes, and control measures to be put in place to reduce the same.
Product Id: 704599
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.
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: 703220
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.
Product Id: 704227
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.
Dr. Afsaneh Motamed Khorasani
Product Id: 705131
This webinar will detail a step-by-step procedure on how to write a practical, effective and compliant Standard Operating Procedures (SOPs), review and revise SOPs and maintain compliance over the course of the SOP life-time.
Product Id: 704753
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.
Donna K Olheiser
Product Id: 704540
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.
Product Id: 703792
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.
Product Id: 703684
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.
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: 704898
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?
Product Id: 704127
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.
Product Id: 706604
Countless managers are satisfied that with a decent risk control system, no occurrence of a risk scenario is going to cost them their job, especially in times of pandemic. Where does this lead us to?