HIGHLIGHTS

• Developing a compliance-risk profile and assessment
• Developing a comprehensive risk-based compliance testing and quality assurance program
• Defining quality assurance, testing, and compliance auditing roles and responsibilities
• Determining the frequency of quality assurance testing and auditing
• Defining the scope of testing
• Developing appropriate test procedures
• Sampling techniques
• Documenting compliance QA, testing, and audit results
• Potential benefits of outsourcing compliance testing and auditing and how to select outsourced vendors
• TAKE-AWAY TOOLKIT
  • Compliance risk-assessment template
  • Compliance-testing template

WHO SHOULD ATTEND?

This informative session is designed for compliance officers, internal auditors, and risk officers.

Attendance verification for CE credits provided upon request.

Please note:  The live webinar option allows you to have one telephone connection for the audio portion and one Internet connection (from a single computer terminal) to view online visuals as the presentation is delivered.  You may have as many people as you like listen from your office speaker phone.

ABOUT THE PRESENTER – Kenneth W. Proctor, Abound Resources

Ken Proctor is the managing director of risk management for Abound Resources, a national management consulting firm.  During his 38-year banking and consulting career, he has served as an internal consultant with a major regional bank, held management positions in the auditing departments of two southeastern regional commercial banks, and worked as a public accountant. 

Ken created the risk management practice area for two national financial services consulting companies and has also served as a senior consultant with two international risk management/consulting firms.  He has authored articles on risk management and technology for various industry publications and is an active member of the Association of Certified Anti-Money Laundering Specialists and the Information Systems Audit and Control Association.

THREE REGISTRATION OPTIONS

Note:  All materials are subject to copyright.  Transmission, retransmission, or republishing this webinar to other institutions or those not employed by your financial institution is prohibited.  Print materials may be copied for eligible participants only.

1.  LIVE WEBINAR

The live webinar option allows you to have one telephone connection for the audio portion and one Internet connection (from a single computer terminal) to view online visuals as the presentation is delivered.  You may have as many people as you like listen from your office speaker phone.  Registrants receive a toll-free number and pass code that will allow entrance to the seminar.  The session will be approximately 90 minutes, including question and answer sessions.  Seminar materials, including instructions, PIN number, and handouts will be emailed to you prior to the broadcast.  You will need the most-current version of Adobe Reader available free at www.adobe.com.

2.  ARCHIVED WEBINAR & FREE CD ROM*

Can’t attend the live webinar? The archived webinar is a recording of the live event, including audio, visuals, and handouts. We even provide the presenter’s email address so you may ask follow-up questions. Approximately one week prior to the webinar, you will receive an email with the archived web link. This web link can be viewed anytime 24/7, beginning 6 business days after the webinar and will expire 6 months after the live program date.

As an added bonus, you will also receive a FREE audio/visual CD ROM.* The CD ROM includes the original audio/visual presentation, the question and answer sessions, and the handouts.  Use the archived webinar or this “off-the-shelf” training program for those that could not attend the live seminar and for future training.

The archived webinar (including the free CD ROM) may ONLY be ordered for 6 months following the webinar. Neither the link nor CD will be available after this time.

3.  BOTH LIVE WEBINAR & ARCHIVED WEB LINK (INCLUDES FREE CD ROM*)

Options 1 and 2 described above

AFFORDABLE, PROFESSIONAL TRAINING, WHEN AND WHERE YOU CHOOSE

*CD ROM is for Mac and PC use only

Click here to register:  https://mcua.fed.cuwebtraining.com/store/webinar