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50 results of "Banking & Insurance x" and "SOX Compliance and Internal Controls x"
Live Webinar

Writing Effective Audit Observations

The key to writing an effective audit observation is having a comprehensive structured process. The Institute of Internal Auditors recommends a process known as the 5Cs: Criteria Condition Cause Consequences (Effect) Corrective Action (Recommendation) ...

Live Webinar

AML Model Validation: A Critical Need in the New Regulatory Environment

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 ...

Live Webinar

Regulatory Compliance for Banks – Practical Insight to Decrease Scrutiny from Examiners and Regulators

Regulators have become more focused than ever to ensure financial institutions are operating with the consumer in mind. This has been an area of focus during examinations over the past year and will continue with the political environment in mind.

Live Webinar

GDPR & California Consumer Privacy Act

During this session we will discuss GDPR & California Consumer Privacy Act (release 2020). Why it’s important and also, why are stricter rules and regulations being created. Is it with the public in mind?

Live Webinar

Writing an Effective Coverage Letter - Analyzing the Facts, the Law and the Insurance Policy

In this training program, attendees will understand the necessity of writing a coverage letter. Attendees will understand how to utilize the facts and communicate to the insured the need for more information when there is insufficient information to make a cov ...

Live Webinar

Understanding Operational Risk Management

The Basel Accords requirements regarding operational risk. Techniques that are used for assessing, managing and mitigating operational risk Understanding the link between Operational Risk Management (ORM) theory and practice Receive guidance in setting-o ...

Live Webinar

FinCEN's New CDD Rule - The New Fifth Prong of the AML

The FinCEN has issued substantial new AML requirements focused on a major expansion of Know Your Customer into what is now Customer Due Diligence, CDD. This webinar will present various aspects of the requirements.

  • Basic & Intermediate
  • 60 Mins
  • Jim George
  • Sep 10, 2019
Live Webinar

What It Takes to be the Auditor-In-Charge

The success of an audit engagement will often depend on how well the AIC carry out those functions.This webinar will help you understand the skills needed and the responsibilities of the AIC.

Live Webinar

Supply Chain Finance Primer

This session will examine the origins of supply-chain finance, the current state, and the projected future and its impact on importers, exporters, and banks.

Live Webinar

How to Disposition Possible hits from Sanctions hits

This course will discuss procedures and processes your BSA department can employ when your institution is clearing and disposing alerts for potential hits identified by your screening process related to companies, individuals, and countries identified by gover ...