ComplianceOnline

Audit and Inspection Training - Live Webinars, Recordings & CDs

Data Integrity and Privacy: Compliance with 21 CFR Part 11, SaaS/Cloud, EU GDPR
2
/ Apr
Thursday-2020

Data Integrity and Privacy: Compliance with 21 CFR Part 11, SaaS/Cloud, EU GDPR

  • 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
SR Letter 11-7 - Supervisory Guidance on Model Risk Management
6
/ Apr
Monday-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
Process Validation - Overview of Why and How
7
/ Apr
Tuesday-2020

Process Validation - Overview of Why and How

  • Speaker: Betty Lane
  • Product ID: 703520
  • Duration: 60 Min
This webinar will provide understanding of FDA and ISO 13485 requirements for process validation and how to implement them.
* Per Attendee
$199
Personal and Business Tax Returns Analysis - 1040 Federal Tax Returns, K-1 Forms and Tax Code Updates
13
/ Apr
Monday-2020

Personal and Business Tax Returns Analysis - 1040 Federal Tax Returns, K-1 Forms and Tax Code Updates

  • Speaker: David L Osburn
  • Product ID: 705011
  • Duration: 90 Min
This personal and business tax returns analysis training program will focus on key areas such as 1040 federal tax returns, K-1 forms, and tax code updates and how they affect bank’s clients. It will also discuss the structure of a C corporation, S corporation, and Partnership (including LLC) tax return.
* Per Attendee
$149
Red Flags of Money Laundering
14
/ Apr
Tuesday-2020

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
How to Prepare an Effective Audit Manual for an Internal Audit Department
14
/ Apr
Tuesday-2020

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

  • Speaker: Marna Steuart
  • Product ID: 703684
  • Duration: 60 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
Validation of HPLC/UPLC Methodologies
14
/ Apr
Tuesday-2020

Validation of HPLC/UPLC Methodologies

  • Speaker: John Fetzer
  • Product ID: 705291
  • Duration: 60 Min
This training program will cover in detail the key elements of HPLC and UPLC method validation to ensure compliance with FDA GLP and ISO 17025 requirements.
* Per Attendee
$229
How to Think Like a Crook - Money Laundering Prevention
16
/ Apr
Thursday-2020

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.
* Per Attendee
$149
Purchasing Cards: Overcoming Risks and Creating an Effective Program
17
/ Apr
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
After the Breach: New Ideas in Customer Identity for Banks
17
/ Apr
Friday-2020

After the Breach: New Ideas in Customer Identity for Banks

  • 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
Digital Payments 2020 - The future of Payments
20
/ Apr
Monday-2020

Digital Payments 2020 - The future of Payments

  • Speaker: Stanley Epstein
  • Product ID: 704753
  • Duration: 90 Min
This digital payment training program will 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.
* Per Attendee
$199
New NACHA Operating Rules Changes 2020 and Beyond!
23
/ Apr
Thursday-2020

New NACHA Operating Rules Changes 2020 and Beyond!

  • 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 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 (or Third Party Service Provider). 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
Workplace Unconscious Bias:  Minimizing the Impact on Discrimination, Hiring, Promotions, and Retention
30
/ Apr
Thursday-2020

Workplace Unconscious Bias: Minimizing the Impact on Discrimination, Hiring, Promotions, and Retention

  • Speaker: Dr. Susan Strauss
  • Product ID: 704876
  • Duration: 60 Min
Unconscious bias has been recognized as a form of discrimination and can therefore lead to lawsuits. This training program addresses the science of unconscious bias and lists the examples and types. The Instructor will discuss the implicit association test (IAT) and steps to minimize individual and organizational unconscious bias in hiring, promotions, and retention.
* Per Attendee
$179
1099 & W-9 Update - Complying with IRS Information Reporting Guidelines
30
/ Apr
Thursday-2020

1099 & W-9 Update - Complying with IRS Information Reporting Guidelines

  • Speaker: Miles Hutchinson
  • Product ID: 703220
  • Duration: 90 Min
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.
* Per Attendee
$199
Supply Chain and Product Compliance Using RoHS, REACH, and Conflict Minerals
30
/ Apr
Thursday-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
$149
Recorded/CD
GAAP: Accounting for Inventory

GAAP: Accounting for Inventory

  • Speaker: Candace Leuck
  • Product ID: 705203
  • Duration: 60 Min
For manufacturers and retailers inventory is one of the most valuable assets on the balance sheet. The cost of inventory is one of the largest expenses on the income statement. Practitioners and members in industry will benefit from this training program’s comprehensive guidance on inventory accounting issues.
CD/Recorded
$229
Recorded/CD
Workplace Investigations - Witnesses Interviews

Workplace Investigations - Witnesses Interviews

  • Speaker: Teri Morning
  • Product ID: 703048
  • Duration: 60 Min
This training will provide you the best practices on how to effectively interview witnesses while conducting workplace investigations. You will also learn how to avoid retaliatory behavior towards individuals involved in investigations or making complaints.
CD/Recorded
$229
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: 60 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
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
Root Cause Analysis - Getting to the Bottom of It

Root Cause Analysis - Getting to the Bottom of It

  • Speaker: John E Lincoln
  • Product ID: 701373
  • Duration: 90 Min
This failure investigation and root cause analysis training will present a repeatable methodology / defined systems, and simple tools that you can use to trace problems to their source and root cause. Attendees will get knowledge on Flow charts, Cause and Effect Diagrams, the 5 Whys, and other statistical tools to accomplish FI/RCA.
CD/Recorded
$299
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