ComplianceOnline

Risk Management and Controls Regulatory Compliance Training - Live Webinars, Recordings & CDs

The risk management courses on this page are designed to help you strengthen your professional profile and add value to your organization. These courses will help you get insights associated with the numerous laws pertaining to risk management. You will learn how to manage business risks such as developing risks around competition, operational strategies, vendor risk management, establishing meaningful metrics, avoiding decision-making errors, and much more.

TIN Matching to Reduce Your B-Notices and Eliminate Proposed Penalties
4
/ May
Tuesday-2021

TIN Matching to Reduce Your B-Notices and Eliminate Proposed Penalties

  • Speaker: Miles Hutchinson
  • Product ID: 703028
  • Duration: 90 Min
This IRS regulatory compliance training will explain the TIN matching system best practices to eliminate form 1099 reporting errors. It will also provide you the tools to effectively handle B- Notices in order to avoid fines and penalties.
Conducting Your "NEW 2021" Annual ACH Rules Compliance Audit - a Step-by-Step Guide
18
/ May
Tuesday-2021

Conducting Your "NEW 2021" Annual ACH Rules Compliance Audit - a Step-by-Step Guide

  • Speaker: Donna K Olheiser
  • Product ID: 705082
  • Duration: 90 Min
This session will cover “step-by-step” the audit process and requirements for each participant conducting an annual ACH audit, to help ensure their compliance with the Nacha Operating Rules.
* Per Attendee
$199
How to write SOP's that Avoid Human Error
26
/ May
Wednesday-2021

How to write SOP's that Avoid Human Error

  • Speaker: Ginette M Collazo
  • Product ID: 704418
  • Duration: 90 Min
This training program will address the common human errors and deviations related to the use of procedures. It will also offer best practices for writing SOP’s to reduce the likelihood of human errors.
* Per Attendee
$199
FFIEC BSA/AML Examination Manual: What Compliance Officers Really Need to Know?
2
/ Jun
Wednesday-2021

FFIEC BSA/AML Examination Manual: What Compliance Officers Really Need to Know?

  • Speaker: Doug Keipper
  • 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
ACH Government Payment Processing - Handling Death Notification Entries (DNEs) and Reclamations
10
/ Jun
Thursday-2021

ACH Government Payment Processing - Handling Death Notification Entries (DNEs) and Reclamations

  • Speaker: Donna K Olheiser
  • Product ID: 704540
  • Duration: 90 Min

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.

* Per Attendee
$199
Digital Payments 2021 - The future of Payments
15
/ Jun
Tuesday-2021

Digital Payments 2021 - The future of Payments

  • Speaker: Stanley Epstein
  • Product ID: 704753
  • Duration: 120 Min
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.
* Per Attendee
$229
Guidelines for Performing a Corporate Wide Internal Audit Risk Assessment
23
/ Jun
Wednesday-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
Excel Spreadsheets; Ensuring Data Integrity and 21 CFR Part 11 Compliance
7
/ Jul
Wednesday-2021

Excel Spreadsheets; Ensuring Data Integrity and 21 CFR Part 11 Compliance

  • Speaker: David Nettleton
  • Product ID: 701582
  • Duration: 75 Min
Learn how to use Microsoft Excel spreadsheets for GXP data to ensure compliance with 21 CFR Part 11 and reduce validation cost and time.
* Per Attendee
$229
Recorded/CD
The Essentials of Managing Operational Risk

The Essentials of Managing Operational Risk

  • Speaker: Stanley Epstein
  • Product ID: 702359
  • Duration: 90 Min
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.
CD/Recorded
$249
Recorded/CD
Managing the Alert/Case Clearing Investigation Process - BSA/AML/OFAC Compliance

Managing the Alert/Case Clearing Investigation Process - BSA/AML/OFAC Compliance

  • Speaker: Doug Keipper
  • Product ID: 704898
  • Duration: 60 Min
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?
CD/Recorded
$249
Recorded/CD
BSA/AML Contextual Awareness of High Risk Customers

BSA/AML Contextual Awareness of High Risk Customers

  • Speaker: Doug Keipper
  • Product ID: 705472
  • Duration: 60 Min
This webinar will highlight the steps to identify and evaluate high-risk customers. Learn how to perform BSA, AML risk assessments.
CD/Recorded
$229
Recorded/CD
Implementing Operational Risk Management in Foreign Exchange Activities

Implementing Operational Risk Management in Foreign Exchange Activities

  • Speaker: Stanley Epstein
  • Product ID: 704115
  • Duration: 90 Min
This webinar seeks to provide a solid foundation to all parties involved in foreign exchange activities whether at executive, marketing, audit or operational levels into how the actual trading processes work, what the risks are and how these can be mitigated by using clearly defined standards of best practice.
CD/Recorded
$249
Recorded/CD
Writing an Effective SAR Narrative

Writing an Effective SAR Narrative

  • Speaker: Doug Keipper
  • Product ID: 702993
  • Duration: 60 Min
This BSA compliance training on Suspicious Activity Reporting (SAR) will provide details on how to prepare a SAR (Suspicious Activity Reporting) narrative that meets examiner scrutiny and provides necessary detail for law enforcement.
CD/Recorded
$199
Recorded/CD
Updates to the Nacha Operating Rules Changes for 2021 and 2022

Updates to the Nacha Operating Rules Changes for 2021 and 2022

  • Speaker: Donna K Olheiser
  • Product ID: 705048
  • Duration: 90 Min
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).
CD/Recorded
$249
Recorded/CD
Red Flags of Money Laundering

Red Flags of Money Laundering

  • Speaker: Doug Keipper
  • 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.
CD/Recorded
$249
Recorded/CD
Human Error and Cognitive Load: How to Reduce Memory and Attention Failures

Human Error and Cognitive Load: How to Reduce Memory and Attention Failures

  • Speaker: Ginette M Collazo
  • Product ID: 704210
  • Duration: 60 Min
This training program will discuss the types of human error, the taxonomy of human error, human error reduction initiatives, individual performance, cognitive load and human error, cognitive load categories, and more.
CD/Recorded
$299
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
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
Recorded/CD
Personal and Business Tax Returns Analysis - 1040 Federal Tax Returns, K-1 Forms and Tax Code Updates

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.
CD/Recorded
$249
Recorded/CD
Identity issues in Banking  - 26 Red Flags and More

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.
CD/Recorded
$249
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