Posts tagged with "Audit"

Auditing Your Payments and BSA/AML Program for Elder Financial Exploitation Gaps

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Today, elder financial exploitation has increased based on the significant wealth in the elder population.  Regulatory expectations have also increased based on the impact of this type of crime.

This session will focus on the basics of elder financial exploitation, federal rules and regulations, specific state laws, and an outline detailing focal areas for verifying compliance with regulatory guidance and expectations including your payments programs and BSA/AML. Best Business Practice Document – As a best business practice take-away, this session will include a white paper written by the speaker of this webinar on auditing a financial institution’s elder financial exploitation program.

Topics Covered:

  • Elder Financial Exploitation exposure
  • Regulatory Guidance and Expectations
  • CFPB Guidance on Elder Financial Exploitation
  • Auditing Systems to identify elder financial exploitation
  • Reviewing Training requirements
  • Auditing first line of defense areas to identify elder financial exploitation
  • Reviewing fraud prevention plans

Who Should Attend?

  • Internal Auditors
  • Compliance Officers
  • Risk Managers
  • Deposit Operations
  • Branch Management
  • Senior Management

Pricing

$249 for Webinar and Playback*
*Playback has no expiration and may be shared internally. Event previously recorded.

Dates of Event

Monday, July 9, 2018

  • 2:00 – 3:00 pm (Eastern Time)
  • 1:00 – 2:00 pm (Central Time)
  • 12:00 – 1:00 pm (Mountain Time)
  • 11:00 – 12:00 pm (Pacific Time)

Credits

  • 1.2 AAP Credits
  • 1.0 CPE Credits

Your Speaker(s)

Terri Sands AAP
Founder, Secura Risk Management
Terri Sands

About the Speaker

Throughout her career, Terri has served as a leader in the payments and fraud prevention industry, providing education, risk management and compliance consulting and support services geared toward the specific needs of financial organizations. Terri serves as the Director of the Financial Investigative Unit for State Bank & Trust in Atlanta, Georgia where she is responsible for BSA/AML, physical security, fraud prevention, and payments risk management.

Terri is an Advanced Certified Anti-Money Laundering Specialist, an At-Risk Adult Crime Specialist and an Accredited ACH Professional. Prior to founding Secura, Terri served as co-founder of Payments Information Circle (PIC), Prior to her work at PIC, Terri served as the President of GACHA, a non-profit, regional payments association. Terri began her career in payments as a Senior Analyst with the Federal Reserve Bank of Atlanta where she provided training throughout the Sixth District and served on the Federal Reserve ACH Conversion Team that consolidated ACH Services for all branch locations in the Sixth District. Terri has been an instructor for BankersHub for almost ten years.

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2018 ACH Changes: NACHA Rules, Reg CC, and Audit Expectations

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Significant Changes in Payments Compliance:  NACHA Operating Rules, Regulation CC and Emerging Regulatory Expectations in Information Technology Safety and Soundness Exams.

This ACH webinar includes three parts that will significantly impact your payments programs. This webinar will cover the following topics:

  • The 2018 NACHA Operating Rules changes that impact your daily operations and strategic decisions of your ACH program;
  • Major changes to Regulation CC (Availability of Funds and Collection of Checks) amended by the Federal Reserve Bank of Governors on May 31, 2017 that will go into effect July 1, 2018;
  • Emerging regulatory and compliance risks for financial institution growing their payments programs.

Who Should Attend:

  • Payments Professionals
  • Electronic Banking Management/Staff
  • Deposit Operations Management/Staff
  • Risk Management
  • Internal Auditors
  • Compliance Management/Staff
  • Senior Management
  • Executive Management

Pricing

$249 for Pre-Recorded Webinar and Playback*
*Playback has no expiration and may be shared internally

Dates of Event

Thursday, April 12, 2018

  • 2:00 – 3:30 pm (Eastern Time)
  • 1:00 – 2:30 pm (Central Time)
  • 12:00 – 1:30 pm (Mountain Time)
  • 11:00 – 12:30 pm (Pacific Time)

Credits

  • 1.8 AAP Credits
  • 1.5 CPE Credits

Your Speaker(s)

Terri Sands AAP
Founder, Secura Risk Management
Dick Fraher
VP / Counsel to Retail Payments, Fed Reserve Bank Atlanta

Terri Sands 

About the Speakers

Register Now Pay by Check

Auditing Your Payments and BSA/AML Program for Elder Financial Exploitation Gaps

Register Now

Today, elder financial exploitation has increased based on the significant wealth in the elder
population.  Regulatory expectations have also increased based on the impact of this type of
crime.

This session will focus on the basics of elder financial exploitation, federal rules and regulations,
specific state laws, and an outline detailing focal areas for verifying compliance with regulatory
guidance and expectations including your payments programs and BSA/AML.
Best Business Practice Document – As a best business practice take-away, this session will
include a white paper written by the speaker of this webinar on auditing a financial institution’s
elder financial exploitation program.

Topics Covered:

  • Elder Financial Exploitation exposure
  • Regulatory Guidance and Expectations
  • CFPB Guidance on Elder Financial Exploitation
  • Auditing Systems to identify elder financial exploitation
  • Reviewing Training requirements
  • Auditing first line of defense areas to identify elder financial exploitation
  • Reviewing fraud prevention plans

Who Should Attend?

  • Internal Auditors
  • Compliance Officers
  • Risk Managers
  • Deposit Operations
  • Branch Management
  • Senior Management

Pricing

$249 for Webinar and Playback*
*Playback has no expiration and may be shared internally

Dates of Event

Wednesday, April 4, 2018

  • 2:00 – 3:00 pm (Eastern Time)
  • 1:00 – 2:00 pm (Central Time)
  • 12:00 – 1:00 pm (Mountain Time)
  • 11:00 – 12:00 pm (Pacific Time)

Credits

  • 1.2 AAP Credits
  • 1.0 CPE Credits

Your Speaker(s)

Terri Sands AAP
Founder, Secura Risk Management
Terri Sands

Register Now Pay by Check

2018 ACH Changes: NACHA Rules, Reg CC, and Audit Expectations

Register Now

Significant Changes in Payments Compliance:  NACHA Operating Rules, Regulation CC and Emerging Regulatory Expectations in Information Technology Safety and Soundness Exams.

This ACH webinar includes three parts that will significantly impact your payments programs. This webinar will cover the following topics:

  • The 2018 NACHA Operating Rules changes that impact your daily operations and strategic decisions of your ACH program;
  • Major changes to Regulation CC (Availability of Funds and Collection of Checks) amended by the Federal Reserve Bank of Governors on May 31, 2017 that will go into effect July 1, 2018;
  • Emerging regulatory and compliance risks for financial institution growing their payments programs.

Who Should Attend:

  • Payments Professionals
  • Electronic Banking Management/Staff
  • Deposit Operations Management/Staff
  • Risk Management
  • Internal Auditors
  • Compliance Management/Staff
  • Senior Management
  • Executive Management

Pricing

$249 for Pre-Recorded Webinar and Playback*
*Playback has no expiration and may be shared internally

Dates of Event

Monday, March 12, 2018

  • 12:00 – 1:30 pm (Eastern Time)
  • 11:00 – 12:30 pm (Central Time)
  • 10:00 – 11:30 am (Mountain Time)
  • 9:00 – 10:30 am (Pacific Time)

Credits

  • 1.8 AAP Credits
  • 1.5 CPE Credits

Your Speaker(s)

Terri Sands AAP
Founder, Secura Risk Management
Dick Fraher
VP / Counsel to Retail Payments, Fed Reserve Bank Atlanta

Terri Sands 

Register Now Pay by Check

Fundamentals of ACH Annual Audit

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The NACHA Operating Rules and Guidelines require that all participating depository financial institutions, third-party senders and third-party service providers that provide ACH services conduct an annual ACH audit to be performed by December 31 of each year (ACH Rules, Appendix Eight). By each participant performing the annual ACH audit, this helps ensure that electronic payments work safely and efficiently for all users. Every financial institution, Third-Party Service Provider and Third-Party Sender that provide any function within the ACH Network is required to complete the annual ACH Audit for Rules Compliance.

This payments webinar will outline the Audit process according to Appendix 8 in the NACHA Operating Rules and what elements of your ACH program need to be checked and verified to ensure compliance with these Rules. This session will cover the General Audit Requirements along with the specifics for the RDFI and ODFI processes and what types of questions to ask and things to look for when completing your annual ACH Rules Compliance Audit.

Pricing

$249 for Webinar and Playback*
*Playback has no expiration and may be shared internally

Dates of Event

Thursday, March 1, 2018

  • 12:00 – 1:30 pm (Eastern Time)
  • 11:00 – 12:30 pm (Central Time)
  • 10:00 – 11:30 am (Mountain Time)
  • 9:00 – 10:30 am (Pacific Time)

Credits

  • 1.8 AAP Credits
  • 1.5 CPE Credits

Your Speaker

Donna Olheiser AAP
Founder/VP Education, Dynamic Mastership

Donna Olheiser

 

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Understanding FFIEC Retail Payments Systems Booklet: Auditors’ Overview of Guidance and Payments Audits

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This session will focus on how internal auditors can be more effective in how they audit their retail payments programs including but not limited to ACH, Debit/ATM, Remote Deposit Capture, P2P payments, mobile banking and much more! This session will provide an overview of the purpose of this booklet, how it is used by regulators when examining payments programs and the regulatory expectations of payments programs including strategic risk, reputation risk, credit risk, liquidity risk, legal risk and operational risk.

Who Should Attend?

  • Payments Professionals
  • Risk Management
  • Internal Auditors
  • Information Security Officers
  • Compliance Management/Staff
  • Senior Management
  • Executive Management
  • Enterprise Risk Management

Pricing

$249 for Webinar and Playback*
*Playback has no expiration and may be shared internally

Dates of Event

Thursday, January 18, 2018

  • 2:00 – 3:00 pm (Eastern Time)
  • 1:00 – 2:00 pm (Central Time)
  • 12:00 – 1:00 pm (Mountain Time)
  • 11:00 – 12:00 pm (Pacific Time)

Credits

  • 1.2 AAP Credits
  • 1.0 CPE Credits

Your Speaker(s)

Terri Sands AAP

Founder, Secura Risk Management

Terri Sands

Register Now Manual Invoice

ACH Bootcamp: Fundamentals, Exceptions, Risks and Auditing (3-part Series)

Buy Playback Now

Are you new to ACH, have some experience or you’ve been processing ACH transactions for many years? Regardless of your background, this 3-part ACH Webinar bootcamp will cover details from the basics to the more complex issues when processing ACH transactions. Understanding the details and rules behind ACH transactions, regardless of how much experience your staff may have, protects your customers and your institution. In addition to processing fundamentals, this ACH Payments bootcamp goes much further to cover risk mitigation and assessment, as well as expectations of auditors and regulators.

Sign up for 1, 2 or all 3 Parts!

PART 1

ACH Basics and Exception Item Processing

Tuesday, May 2, 2017

  • 2:00 – 3:00 pm ET
  • 1:00 – 2:00 pm CT
  • 12:00 – 1:00 pm MT
  • 1100 – 12:00 pm PT
This first of three ACH webinars will take attendees through processing, participants, flow, top exception items and regulatory requirements of ACH. This payments webinar is perfect for your front line and operational staff who need to know more about the ACH system, exceptions, and problem resolution issues.

  • General flow of the ACH Network
  • Participants, Flow, and How Funds Settle
  • Exception Items Impacting your Back-Office Daily
  • How to respond to Exception Items per the Network Rules and for the protection of your Financial Institution
  • Resources to Use in Your Back-Office Daily

 

PART 2

ACH Risk Management

Wednesday, May 3, 2017

  • 2:00 – 3:00 pm ET
  • 1:00 – 2:00 pm CT
  • 12:00 – 1:00 pm MT
  • 1100 – 12:00 pm PT
This second ACH webinar is great training for educating your risk management personnel on expectations from a regulatory and network perspective. This payments webinar will take attendees through important and practical best business practices for effectively managing, monitoring, and measuring your ACH Program. Learn the regulatory expectations for ACH Risk Management and how best to incorporate regulatory expectations into your daily program without making it difficult to comply.

  • FFIEC Guidance for ACH Risk Management
  • ACH Network Requirements as an ODFI and RDFI
  • Building Your ACH Risk Assessment
  • Regulatory Expectations
  • Reporting Expectations

 

PART 3

Audit, Risk Assessment and Regulatory Expectations

Thursday, May 4, 2017

  • 2:00 – 3:00 pm ET
  • 1:00 – 2:00 pm CT
  • 12:00 – 1:00 pm MT
  • 1100 – 12:00 pm PT
The National Automated Clearing House Association requires under network Rules that all financial institution participating in the ACH Network complete an annual ACH Audit and complete an ACH Risk Assessment in accordance with your regulators expectations. In addition, Third Party Senders are also included as having to comply with these Rules. This final ACH webinar in the series will focus on the network requirements, regulatory expectations and what the top 5 regulatory findings for non-compliance with these Rules.

Highlights

  • ACH Network Requirements as an ODFI and RDFI
  • Third Party Sender ACH Audit Requirements
  • Risk Assessment Requirements
  • Audit Reporting and Retention Requirements
  • Top 5 Regulatory Findings

Pricing

$549 for all 3 session playbacks*
$249 for individual session playbacks*

Buy Part One
Buy Part Two
Buy Part Three

Credits

3.6 AAP Credits
3.0 CPE Credits

Your Speaker

Terri Sands, AAP CAMS
Founder, Secura Risk Management

Terri Sands AAP CAMS

Buy Playback Now Manual Invoice

ACH Bootcamp: Fundamentals, Exceptions, Risks and Auditing (3-part Series)

Buy Playback Now

Are you new to ACH, have some experience or you’ve been processing ACH transactions for many years? Regardless of your background, this 3-part ACH Webinar bootcamp will cover details from the basics to the more complex issues when processing ACH transactions. Understanding the details and rules behind ACH transactions, regardless of how much experience your staff may have, protects your customers and your institution. In addition to processing fundamentals, this ACH Payments bootcamp goes much further to cover risk mitigation and assessment, as well as expectations of auditors and regulators.

Sign up for 1, 2 or all 3 Parts!

PART 1

ACH Basics and Exception Item Processing

Tuesday, May 2, 2017

  • 2:00 – 3:00 pm ET
  • 1:00 – 2:00 pm CT
  • 12:00 – 1:00 pm MT
  • 1100 – 12:00 pm PT
This first of three ACH webinars will take attendees through processing, participants, flow, top exception items and regulatory requirements of ACH. This payments webinar is perfect for your front line and operational staff who need to know more about the ACH system, exceptions, and problem resolution issues.

  • General flow of the ACH Network
  • Participants, Flow, and How Funds Settle
  • Exception Items Impacting your Back-Office Daily
  • How to respond to Exception Items per the Network Rules and for the protection of your Financial Institution
  • Resources to Use in Your Back-Office Daily

 

PART 2

ACH Risk Management

Wednesday, May 3, 2017

  • 2:00 – 3:00 pm ET
  • 1:00 – 2:00 pm CT
  • 12:00 – 1:00 pm MT
  • 1100 – 12:00 pm PT
This second ACH webinar is great training for educating your risk management personnel on expectations from a regulatory and network perspective. This payments webinar will take attendees through important and practical best business practices for effectively managing, monitoring, and measuring your ACH Program. Learn the regulatory expectations for ACH Risk Management and how best to incorporate regulatory expectations into your daily program without making it difficult to comply.

  • FFIEC Guidance for ACH Risk Management
  • ACH Network Requirements as an ODFI and RDFI
  • Building Your ACH Risk Assessment
  • Regulatory Expectations
  • Reporting Expectations

 

PART 3

Audit, Risk Assessment and Regulatory Expectations

Thursday, May 4, 2017

  • 2:00 – 3:00 pm ET
  • 1:00 – 2:00 pm CT
  • 12:00 – 1:00 pm MT
  • 1100 – 12:00 pm PT
The National Automated Clearing House Association requires under network Rules that all financial institution participating in the ACH Network complete an annual ACH Audit and complete an ACH Risk Assessment in accordance with your regulators expectations. In addition, Third Party Senders are also included as having to comply with these Rules. This final ACH webinar in the series will focus on the network requirements, regulatory expectations and what the top 5 regulatory findings for non-compliance with these Rules.

Highlights

  • ACH Network Requirements as an ODFI and RDFI
  • Third Party Sender ACH Audit Requirements
  • Risk Assessment Requirements
  • Audit Reporting and Retention Requirements
  • Top 5 Regulatory Findings

Pricing

$549 for all 3 session playbacks*
$249 for individual session playbacks*

Buy Part One
Buy Part Two
Buy Part Three

Credits

3.6 AAP Credits
3.0 CPE Credits

Your Speaker

Terri Sands, AAP CAMS
Founder, Secura Risk Management

Terri Sands AAP CAMS

Buy Playback Now Manual Invoice

ACH Bootcamp: Fundamentals, Exceptions, Risks and Auditing (3-part Series)

Buy Playback Now

Are you new to ACH, have some experience or you’ve been processing ACH transactions for many years? Regardless of your background, this 3-part ACH Webinar bootcamp will cover details from the basics to the more complex issues when processing ACH transactions. Understanding the details and rules behind ACH transactions, regardless of how much experience your staff may have, protects your customers and your institution. In addition to processing fundamentals, this ACH Payments bootcamp goes much further to cover risk mitigation and assessment, as well as expectations of auditors and regulators.

Sign up for 1, 2 or all 3 Parts!

PART 1

ACH Basics and Exception Item Processing

Tuesday, May 2, 2017

  • 2:00 – 3:00 pm ET
  • 1:00 – 2:00 pm CT
  • 12:00 – 1:00 pm MT
  • 1100 – 12:00 pm PT
This first of three ACH webinars will take attendees through processing, participants, flow, top exception items and regulatory requirements of ACH. This payments webinar is perfect for your front line and operational staff who need to know more about the ACH system, exceptions, and problem resolution issues.

  • General flow of the ACH Network
  • Participants, Flow, and How Funds Settle
  • Exception Items Impacting your Back-Office Daily
  • How to respond to Exception Items per the Network Rules and for the protection of your Financial Institution
  • Resources to Use in Your Back-Office Daily

 

PART 2

ACH Risk Management

Wednesday, May 3, 2017

  • 2:00 – 3:00 pm ET
  • 1:00 – 2:00 pm CT
  • 12:00 – 1:00 pm MT
  • 1100 – 12:00 pm PT
This second ACH webinar is great training for educating your risk management personnel on expectations from a regulatory and network perspective. This payments webinar will take attendees through important and practical best business practices for effectively managing, monitoring, and measuring your ACH Program. Learn the regulatory expectations for ACH Risk Management and how best to incorporate regulatory expectations into your daily program without making it difficult to comply.

  • FFIEC Guidance for ACH Risk Management
  • ACH Network Requirements as an ODFI and RDFI
  • Building Your ACH Risk Assessment
  • Regulatory Expectations
  • Reporting Expectations

 

PART 3

Audit, Risk Assessment and Regulatory Expectations

Thursday, May 4, 2017

  • 2:00 – 3:00 pm ET
  • 1:00 – 2:00 pm CT
  • 12:00 – 1:00 pm MT
  • 1100 – 12:00 pm PT
The National Automated Clearing House Association requires under network Rules that all financial institution participating in the ACH Network complete an annual ACH Audit and complete an ACH Risk Assessment in accordance with your regulators expectations. In addition, Third Party Senders are also included as having to comply with these Rules. This final ACH webinar in the series will focus on the network requirements, regulatory expectations and what the top 5 regulatory findings for non-compliance with these Rules.

Highlights

  • ACH Network Requirements as an ODFI and RDFI
  • Third Party Sender ACH Audit Requirements
  • Risk Assessment Requirements
  • Audit Reporting and Retention Requirements
  • Top 5 Regulatory Findings

Pricing

$549 for all 3 session playbacks*
$249 for individual session playbacks*

Buy Part One
Buy Part Two
Buy Part Three

Credits

3.6 AAP Credits
3.0 CPE Credits

Your Speaker

Terri Sands, AAP CAMS
Founder, Secura Risk Management

Terri Sands AAP CAMS

Buy Playback Now Manual Invoice