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Home › Online Training ›  Risk Management & Controls

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.
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Recorded/CD
Managing ACH Business to Business Payments

Managing ACH Business to Business Payments

  • Speaker: Rayleen M Pirnie
  • Product ID: 704918
  • Duration: 90 Min
This webinar training will explore B2B ACH payments. The instructor will explain how to isolate benefits and risks and discuss various options including Credit Push vs. Debit, and analyze critical authorization provisions. He will also investigate sound business practices to successfully managing business to business ACH payments.
CD/Recorded
$179
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Recorded/CD
How to Apply ISO 27001 Principles to Enterprise Risk Management in 2017

How to Apply ISO 27001 Principles to Enterprise Risk Management in 2017

  • Speaker: Michael C Redmond
  • Product ID: 704828
  • Duration: 60 Min
This webinar training will help you implement ISO standards in your Enterprise risk management (ERM) system and understand the benefits. This session will enable on how to integrate ISO 27001 in your organization as the main structure for information security management.
CD/Recorded
$0
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Recorded/CD
Develop and Upgrade Sound Business Continuity Plans | New and Potential Threats

Develop and Upgrade Sound Business Continuity Plans | New and Potential Threats

  • Speaker: Javier Kuong
  • Product ID: 704908
  • Duration: 120 Min
This webinar will offer guidelines on how organizations should take a short-, medium-, and long-term vision of their enterprise-wide contingency and business continuity plan preparation. It will also offer best practices to upgrade your Business Continuality Plan (BCP) to cope with a whole variety of new current and forecast threats, with uncertain times of occurrence, in a dynamic business and global threat panorama.
CD/Recorded
$0
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Recorded/CD
Complying with the Rules and Regulations Pertaining to Letters of Credit: OFAC, Anti-Boycott, and the USA PATRIOT Act

Complying with the Rules and Regulations Pertaining to Letters of Credit: OFAC, Anti-Boycott, and the USA PATRIOT Act

  • Speaker: Buddy Baker
  • Product ID: 702639
  • Duration: 90 Min
This international trade compliance training will provide an overview and introduction to rules and regulations governing international trade and take an in-depth look at US sanctions enforced by the Office of Foreign Assets Control (OFAC), Anti-Boycott regulations maintained by the US Department of Commerce, and section 326 of the USA PATRIOT Act (“Know Your Customer”).
CD/Recorded
$249
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Recorded/CD
Integrating ISO 14971 Risk Analysis into the Product Development Process

Integrating ISO 14971 Risk Analysis into the Product Development Process

  • Speaker: Russell Pizzuto
  • Product ID: 704926
  • Duration: 90 Min
This Webinar will present the best practices for integrating medical device risk analysis into a quality system. This integrated processes spans new product development, design change, production, and post market surveillance for the lifecycle of the device. Objective evidence produced by the integrated processes can be used to demonstrate risk analysis compliance to 21 CFR 820 and ISO 14971 during an audit.
CD/Recorded
$249
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Recorded/CD
How to Use Big Data for an AML/AB&C Compliance and Risk Mitigation

How to Use Big Data for an AML/AB&C Compliance and Risk Mitigation

  • Speaker: Shaun Miller
  • Product ID: 704779
  • Duration: 120 Min
This webinar discuss how big data is used for AML compliance review. The instructor will explain how an unstructured data, becomes structured and is subjected to data quality review, sampling and subsequent forensic analysis. The instructor will share how this analysis influences strategic decision in terms of risk mitigation and AML Program enhancement.
CD/Recorded
$229
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Recorded/CD
Essentials of Taxing and Reporting Insurance Benefits for 2016 and Beyond

Essentials of Taxing and Reporting Insurance Benefits for 2016 and Beyond

  • Speaker: Vicki M. Lambert
  • Product ID: 704870
  • Duration: 90 Min
This webinar covers the basics of handling insurances in the payroll department including reviewing the requirements under the ACA for the 2016 reporting of health insurance. The Instructor will cover how to handle health insurance plans such as HSAs or HRAs, taxing and reporting life insurance and third party sick pay. He will also explain the role payroll plays in workers’ compensation pay-outs and premium payments.
CD/Recorded
$0
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Recorded/CD
The Custody Rule for Financial Firms

The Custody Rule for Financial Firms

  • Speaker: Lisa Marsden,Stacey Rodgers
  • Product ID: 704873
  • Duration: 60 Min
This training program explains ‘The Custody Rule’. The instructor will help you determine if your firm has custody, compliance surrounding maintaining custody and regulatory deficiencies.
CD/Recorded
$249
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Recorded/CD
Mitigating and Conducting Very Effective Risk Assessments and Business Impact Analysis

Mitigating and Conducting Very Effective Risk Assessments and Business Impact Analysis

  • Speaker: Michael C Redmond
  • Product ID: 704823
  • Duration: 60 Min
This webinar training will explain project management principles to prepare your business to overcome risk and outage. The instructor will discuss how to conduct risk assessment and business impact analysis. He will also discuss how to test and document risk elements and the process or steps to be taken to combat it.
CD/Recorded
$0
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Recorded/CD
Investment Advisors' Investment Policy Statement (IPS) - Rules, Regulations and Best Practices

Investment Advisors' Investment Policy Statement (IPS) - Rules, Regulations and Best Practices

  • Speaker: Lisa Marsden
  • Product ID: 704521
  • Duration: 60 Min
This training program will analyze best practices for the investment policy statement (IPS), elements of the IPS, the significant areas of the firm that should be involved in the development of the IPS, creating and maintaining the IPS, and compliance testing of the IPS.
CD/Recorded
$249
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Recorded/CD
Dealing with the Weingarten Ruling (Interviewing Public Sector and Private Sector Union Employees)

Dealing with the Weingarten Ruling (Interviewing Public Sector and Private Sector Union Employees)

  • Speaker: John E Grimes
  • Product ID: 704777
  • Duration: 90 Min
This training program will explore the rationale behind the Weingarten Decision and other similar court decisions. It will also examine the union employee’s responsibilities when subject to an investigative interview and the union representative’s role in an investigative interview, along with sanctions and remedies for violation of Weingarten Rights.
CD/Recorded
$25
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Recorded/CD
Protect Your Organization from the Growing Internal Cyber Threat

Protect Your Organization from the Growing Internal Cyber Threat

  • Speaker: Peter Goldmann
  • Product ID: 704817
  • Duration: 60 Min
With the constant tide of data breaches and hacker threats, cybersecurity is a critical element in an organization’s policies. This training program will explore the common and not-so-common insider threats to your organization’s information security and help identify the red flags of potential or actual insider cyber crime.
CD/Recorded
$179
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Recorded/CD
A2Z of ACH - Pre-Notifications, Returns and Reversals - Part 3

A2Z of ACH - Pre-Notifications, Returns and Reversals - Part 3

  • Speaker: Rayleen M Pirnie
  • Product ID: 704573
  • Duration: 90 Min
This three-part webinar series is designed specifically for businesses who either currently process ACH credits and/or debits, or those exploring the network for use in the future. Each session will focus on niche areas of ACH essentials. This course in the series will explore ACH pre-notifications, returns and reversals from the perspective of how each affects a business originator.
CD/Recorded
$249
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Recorded/CD
Conducting a Shrink Investigation - How to Determine the Source of Your Inventory Discrepancy

Conducting a Shrink Investigation - How to Determine the Source of Your Inventory Discrepancy

  • Speaker: John E Grimes
  • Product ID: 704802
  • Duration: 90 Min
Small business failures are particularly vulnerable to going out of business as a result of uncontrolled and unidentified losses. If you are small business retail owner, manager, or loss prevention consultant, this training program will teach you how to conduct a full shrink (loss) investigation. If you are contemplating opening a small retail business, this webinar will give you a head start on understanding the complexities and importance of controlling losses.
CD/Recorded
$0
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Recorded/CD
Block Chain for Risk Management /Data Security | Emerging Technological Approach for KYC and Secure Transactions

Block Chain for Risk Management /Data Security | Emerging Technological Approach for KYC and Secure Transactions

  • Speaker: Shaun Miller
  • Product ID: 704808
  • Duration: 120 Min
A block chain is a transaction database shared by all nodes participating in a system based on the Bitcoin protocol. This course describes the Bitcoin concept, what Blockchain is and its financial applications to creating secure KYC and payment data sets. This course explains a Blockchain concept where the Blockchain itself is a shared single source of truth.
CD/Recorded
$249
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Recorded/CD
Preparation for GMP Inspections by Regulatory Agencies

Preparation for GMP Inspections by Regulatory Agencies

  • Speaker: Peggy Berry
  • Product ID: 704843
  • Duration: 90 Min
This GMP inspections webinar will review what to expect during the agency inspection and how to successfully and efficiently streamline and manage the inspection, including adequate follow-up during and after the inspection.
CD/Recorded
$0
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Recorded/CD
Application for Investor Advisor Registration - ADV Part 1, Part 2A, Part 2B and More

Application for Investor Advisor Registration - ADV Part 1, Part 2A, Part 2B and More

  • Speaker: Lisa Marsden
  • Product ID: 704741
  • Duration: 60 Min
This training program will analyze ADV Part 1, ADV Part 2 A, ADV Part 2 B, and offer a breakdown of each section of the ADV. It will discuss annual filing requirements and offer best practices for reporting accurately.
CD/Recorded
$199
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Recorded/CD
OSHA Required Training Topics for General Industry

OSHA Required Training Topics for General Industry

  • Speaker: Michael Aust
  • Product ID: 704555
  • Duration: 60 Min
This webinar will help you identify required, minimum safety training requirements under OSHA and 29 CFR 1910 for General Industry organizations. Participants will understand trainer requirements for providing instruction on safety topics. The Instructor will discuss the frequency of training topics required and will explain the training matrix.
CD/Recorded
$0
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Recorded/CD
2016 Financial Regulator Priorities - SEC, FINRA, and State Regulators

2016 Financial Regulator Priorities - SEC, FINRA, and State Regulators

  • Speaker: Lisa Marsden
  • Product ID: 704765
  • Duration: 60 Min
In this training program, attendees will learn how to gain access to the financial regulators priorities and understand how to apply those priorities to their firm. The program will also discuss incorporating the priorities into your annual review and identifying priorities that need to become part of the compliance manual/code of ethics.
CD/Recorded
$249
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Recorded/CD
Community Reinvestment Act (CRA) - Understanding High Risk Lending and Compliance Issues

Community Reinvestment Act (CRA) - Understanding High Risk Lending and Compliance Issues

  • Speaker: Vidia Ramdeen
  • Product ID: 704764
  • Duration: 60 Min
This training program will address important compliance issues and high risk lending issues of the Community Reinvestment Act (CRA). It will help attendees in understanding why community bank lending is important for achieving goals underlying successful community reinvestment and focus on the basics of risk management for community bank lending.
CD/Recorded
$0
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