ComplianceOnline

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

Effective Vendor Risk Management
31
/ Mar
Tuesday-2020

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.
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
Handling OOS Test Results and Completing Robust Investigations
9
/ Apr
Thursday-2020

Handling OOS Test Results and Completing Robust Investigations

  • Speaker: Danielle DeLucy
  • Product ID: 704351
  • Duration: 90 Min
This webinar will review the regulatory requirements for investigating an OOS Investigation. The responsibilities of the analyst, the supervisor and QA will be discussed. A detailed flow chart will be used to help the attendees clearly understand the steps and the order in which they are to be performed. The structure of an Investigation report which properly documents the investigation will be discussed.
* Per Attendee
$249
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 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
Hazard Analysis and Risk Management under ISO 14971:2007/2012
28
/ Apr
Tuesday-2020

Hazard Analysis and Risk Management under ISO 14971:2007/2012

  • Speaker: John E Lincoln
  • Product ID: 701693
  • Duration: 60 Min
In this webinar attendees will learn how to develop, use and document Hazard Analysis and the Product Risk Management File and Report per ISO 14971:2007/12 and ICH Q9. Also a field-tested (US FDA and EU Notified Body) multi-industry “model” will be presented in detail.
* Per Attendee
$229
Excel Spreadsheets; Ensuring Data Integrity and 21 CFR Part 11 Compliance
5
/ May
Tuesday-2020

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
Managing the Alert/Case Clearing Investigation Process - BSA/AML/OFAC Compliance
12
/ May
Tuesday-2020

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

  • Speaker: William Schlameuss
  • 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?
* Per Attendee
$199
Human Error and Cognitive Load: How to Reduce Memory and Attention Failures
12
/ May
Tuesday-2020

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.
* Per Attendee
$229
Payments Fraud: Detect and Prevent Check, ACH and P-Card Schemes
13
/ May
Wednesday-2020

Payments Fraud: Detect and Prevent Check, ACH and P-Card Schemes

  • Speaker: Peter Goldmann
  • Product ID: 704774
  • Duration: 90 Min
This training program will examine vendor/billing schemes that exploit payments process control weaknesses; latest electronic payments schemes (ACH hijacking, spear-phishing, social engineering); check counterfeiting, forgery and tampering schemes to be aware of; and, detecting common external payments schemes versus internal attacks.
* Per Attendee
$199
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
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
Weed, Cocaine and Heroin: What it Means to Your Bank or Credit Union?

Weed, Cocaine and Heroin: What it Means to Your Bank or Credit Union?

  • Speaker: Doug Keipper
  • Product ID: 705440
  • Duration: 60 Min
This webinar will focus on the today’s marketplace for weed, cocaine and opioids including heroin. It will cover topics such as FinCEN’s expectations regarding Marijuana-related businesses, drug enforcement agency fact sheets, FBI and DEA documentary on opioid abuse, summary review of transactions and much more.
CD/Recorded
$229
Recorded/CD
Designing and Using KPI's and Performance Dashboard

Designing and Using KPI's and Performance Dashboard

  • Speaker: Miles Hutchinson
  • Product ID: 703405
  • Duration: 90 Min
This webinar will explain how to design, implement and monitor critical Key Performance Indicators (KPIs) using powerful performance dashboards.
CD/Recorded
$199
Recorded/CD
How to write SOP's that Avoid Human Error

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.
CD/Recorded
$299
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