ComplianceOnline

Audit and Inspection Training - Live Webinars, Recordings & CDs

SR Letter 11-7 - Supervisory Guidance on Model Risk Management
30
/ Jul
Thursday-2020

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
Updates to the NACHA Operating Rule Changes 2020 and 2021
4
/ Aug
Tuesday-2020

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.
* Per Attendee
$199
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
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.
* Per Attendee
$199
SaaS/Cloud Risk-Based Validation With Time-Saving Templates
12
/ Aug
Wednesday-2020

SaaS/Cloud Risk-Based Validation With Time-Saving Templates

  • Speaker: David Nettleton
  • Product ID: 701687
  • Duration: 90 Min
This 21 CFR Part 11 compliance training will guide you through the requirements of Part 11 and will also explain its 3 primary areas: SOPs, product features and validation (10 step risk based approach).
* Per Attendee
$249
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
Time Extension Requests - A Checklist
17
/ Aug
Monday-2020

Time Extension Requests - A Checklist

  • Speaker: Jim Zack
  • Product ID: 704345
  • Duration: 90 Min
This training program may well change the way in which you prepare or analyze the very next time extension request you have to deal with. It will discuss rules concerning time extension requests, arguments about waiver and apportionment of liquidated damages, concurrent delay issues and who has to prove concurrent delay, and more.
* Per Attendee
$199
How to Prepare an Effective Audit Manual for an Internal Audit Department
17
/ Aug
Monday-2020

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
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
Conducting Your "NEW 2020" Annual ACH Rules Compliance Audit - a Step-by-Step Guide
10
/ Sep
Thursday-2020

Conducting Your "NEW 2020" Annual ACH Rules Compliance Audit - a Step-by-Step Guide

  • Speaker: Donna K Olheiser
  • Product ID: 705082
  • Duration: 90 Min
This training program will outline the recent changes to the process of the annual ACH Rules Compliance Audit and the removal of Appendix 8 from the Rules Book. It will outline what this Rules change means to your process when conducting your ACH Audit and offer tips and guidance for creating your own personalized ACH Audit. It will also help attendees to identify the details of the ACH audit for each participant, the ODFI, RDFI, TPSP and TPS with NACHA’s Operating Guidelines.
* Per Attendee
$249
Tax Evasion and Tax Fraud - What it means to you when monitoring BSA and filing SARs
10
/ Sep
Thursday-2020

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.
* Per Attendee
$199
Guidelines for Performing a Corporate Wide Internal Audit Risk Assessment
15
/ Sep
Tuesday-2020

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
How to Prepare a Standard Operating Procedure (SOP)?
15
/ Sep
Tuesday-2020

How to Prepare a Standard Operating Procedure (SOP)?

  • Speaker: Dr. Afsaneh Motamed Khorasani
  • Product ID: 705131
  • Duration: 60 Min
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.
* Per Attendee
$229
Recorded/CD
Employee Expense Reimbursement Fraud: Detection, Prevention and Deterrence

Employee Expense Reimbursement Fraud: Detection, Prevention and Deterrence

  • Speaker: Peter Goldmann
  • Product ID: 702455
  • Duration: 90 Min
This 90-minute webinar will summarize the main types of reimbursement fraud to be alert to, and include an analysis of several “real life” case studies. It will explain how to identify the red flags of possible reimbursement fraud, offer specific fraud-audit techniques and test for these crimes and conclude with a rundown of proven anti-fraud controls.
CD/Recorded
$249
Recorded/CD
Good Documentation Guideline (Chapter <1029> USP)

Good Documentation Guideline (Chapter <1029> USP)

  • Speaker: Dr. Afsaneh Motamed Khorasani
  • Product ID: 705130
  • Duration: 60 Min
This webinar will familiarize participants with USP Chapter <1029> on good documentation guidelines. This session will wrap up the general concept and will provide information as to what needs to be documented in certain records.
CD/Recorded
$299
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
Structuring and Conducting Risk-Based Internal cGMP Compliance Audits

Structuring and Conducting Risk-Based Internal cGMP Compliance Audits

  • Speaker: John E Lincoln
  • Product ID: 701432
  • Duration: 60 Min
This training will evaluate the chief areas of an FDA cGMP compliance audit and help you understand the actual and anticipated changes in emphasis based on this new regulatory climate. It will prepare you and your company for tougher US FDA cGMP compliance audits.
CD/Recorded
$299
Recorded/CD
Prevention of Infection in Healthcare Workers

Prevention of Infection in Healthcare Workers

  • Speaker: David Woodard
  • Product ID: 703636
  • Duration: 60 Min
For healthcare facilities and long-term care facilities looking to promote employee safety in the workplace, this webinar will provide essential information on structuring your employee health program as per Center of Disease Control (CDC), Occupational Health and Safety Administration (OSHA), Centers for Medicare and Medicaid Services (CMS), and the National Institute for Occupational Safety and Health (NIOSH) recommendations.
CD/Recorded
$249
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