What You'll Learn
During this presentation, participants can expect an in-depth exploration of key concepts in financial compliance, focusing particularly on essential fundamentals such as Customer Identification Program (CIP), Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), Currency Transaction Reporting (CTR), and more. By staying informed about the latest developments and industry trends, participants can proactively adapt their compliance strategies and mitigate potential risks.
Topics covered in this session
- Key Concepts in Financial Compliance
- Basic concepts and regulator landscape
- Core Principles and Requirements governing CIP
- Assessing Customer Risk Profiles
- Due Diligence Measures
- Issues and Challenges Impacting Day-To Day Operations
*This program does NOT qualify, nor meet the National Standard for NASBA accreditation.
About the Author:
Justin is an expert in Compliance Training providing years of successful implementation of educational solutions for regulatory compliance initiatives designed to decrease risk and provide a robust compliance culture to an organization. He also effectively facilitates training from the board level to the rest of the organization and creates awareness using creative methods to capture audience’s attention and enhance their retention of knowledge.
- Simultaneously operated compliance training company, Tweezzle, and consulting assignments while ensuring satisfied clients and increased revenue.
- Deliver continued guidance, assistance, coordination, and follow-up on complex problems to ensure prompt and timely resolution.
- Specializes in content creation and facilitation for various regulatory bodies and governmental agencies: CFPB, FDIC, FINRA, FinCen, Nacha, NCUA, NFA, OCC & SEC.
- Regulatory topics such as AML/BSA/OFAC, cryptocurrencies, deposits, examinations, lending, privacy.
You Might Also Like
On-Demand Course
Financial Statement Red Flags
On-Demand Course
Understanding early warning signs of credit risk empowers bankers to proactively manage loan portfolio health. By learning to identify key trends and ratios that signal financial weaknesses, bankers can detect issues before they escalate. Applying best practices in prescreening and analyzing loan...
Instructor: Joe Davis
299.00
Order Today
Role: Risk Management
299.00
Order Today
On-Demand Course
The 15 Worst Security Mistakes
On-Demand Course
By attending this webinar, participants will gain a clearer understanding of why examiners insist on a risk-based approach to doing business and how it directly strengthens institutional security. This webinar will highlight the most common—and often most costly—security-related risks organizatio...
Instructor: Barry Thompson
299.00
Order Today
Role: Risk Management
299.00
Order Today
On-Demand Course
ACH Risk
On-Demand Course
Understanding these topics helps professionals implement effective risk management strategies, ensure regulatory compliance, and protect their institutions from fraud, unauthorized transactions, and operational errors. This course supports the development of strong internal controls and enhances ...
Instructor: Kelly Rozier
299.00
Order Today
Role: Risk Management
299.00
Order Today
On-Demand Course
Managing Third-Party Risk in a Complex Regulatory Environment
On-Demand Course
In today’s interconnected financial ecosystem, third-party relationships are no longer just operational they are a critical extension of your risk profile. From fintech partnerships and cloud service providers to offshore operations and AI-driven vendors, organizations face increasing regulatory ...
Instructors: Kay Toscano, Kathy Tomasofsky, Leonardo Pinzon Echeverry
299.00
Order Today
Role: Risk Management
299.00
Order Today