Corporate Compliance Seminars
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Corporate Compliance Seminars
Corporate Compliance Seminars (CCS) is the source for continuing professional education (CPE) credits concerning internal auditing, external auditing, internal controls, Cybersecurity programs, COSO frameworks, PCAOB audit issues and project management training events.


CCS presents our courses in-person, virtually with an instructor, or by on-demand delivery.
Corporate Compliance Seminars Corporate Compliance Seminars

Virtual Weekly Events Calendar


In-Person Events
Auditing Cybersecurity
New Auditors
Audit Leaders
Forensic Accounting
ITGC Audits
COSO Framework
MAR Programs
Insurance Cybersecurity

In-Person Event Cities

Virtual Banking Industry Events
AML/BSA Basics
Bank Auditors & Fraud
Banking Fraud Prevention
Compliance Failures
FFIEC Cybersecurity
FinCEN's CDD Rule
Red Flags & Risky AML
Identity Issues in Banking


Virtual Auditor Tradecraft Events
Active Listening
Ask, Get, Perform
Audit Sampling
Auditing Social Media
Auditors Know IT
Awesomeness
Conflict Resolution
Ethics
Talent Management
Remote Auditing

Virtual Auditor Focused Events
Overview
Art of Audit Report Writing
Ask, Get, Perform
Auditing Social Media
Auditor 101
Auditor 201
Audit Advanced Training
Audit Basic Training
Audit Sampling
Conflict Resolution
Continuous Auditing
Cybersecurity Tools
Ethics CIA, CPA, CFE
Forensic Accounting
"Frauditing"
IT General Controls
Managing Audit Quality
PCAOB Events
Auditing Procure to Pay
PMP Academy
SOX for the CPA
SSAE SOC Audits
Understand Cybersecurity

 

Virtual Weekly & Biweekly Events
Auditor 101
Auditor 201
Audit Committee
Audit Report Writing
Audit Sampling
Auditing Procure to Pay
Conflict Resolution
Continuous Auditing
COSO ICFR
Ethics
Forensic Accounting
"Frauditing"
Green Book Standards
Improving Risk ID
IT General Controls
Managing Audit Quality
Risk ID
Project Management
SOX for CPAs
Understanding Cyber
Understanding COSO
World Class ERM

Virtual PCAOB Focused Events
PCAOB Inspection Recap
PCAOB Inspections B-D
PCAOB Tradecraft
PCAOB Tradecraft B-D
PCAOB Standards
PCAOB AS 1300
PCAOB AS 2105
PCAOB AS 2315
2315 Substantive Testing
2315 Control Testing
PCAOB AS 2501
PCAOB AS 3101
PCAOB AS 3105

Virtual Securing the Procure to Pay Process Events
Auditing Procure to Pay
Continuous Auditing
Detecting Fraud in P2P


On-Demand Events
PCAOB Inspection Recap PCAOB AS 2501

Virtual Multi-Day CPE Events

Virtual Internal Control Events

Using COSO Training
COSO Training
Cybersecurity Tools
Green Book Training
SSAE SOC Training

Virtual Auditor Focused Events

I/A Basic Training
I/A Advanced Training
SSAE SOC Training

Virtual Insurance Industry Events

NAIC MAR Programs
NAIC MAR Compliance
NAIC CyberSecurity

Virtual CPA & Other Events

PCAOB Tradecraft
Project Management
SSAE SOC Training

Virtual Cybersecurity Events
Understanding Cyber
Cybersecurity Tools
NAIC CyberSecurity
Project Management

Virtual PCAOB Focused Events Focused Events
Audit Sampling
PCAOB Inspection Recap
PCAOB Inspections B-D
PCAOB Tradecraft
PCAOB Tradecraft B-D
PCAOB Standards
PCAOB AS 1300
PCAOB AS 2105
PCAOB AS 2315
2315 Substantive Testing
2315 Control Testing
PCAOB AS 2501
PCAOB AS 3101
PCAOB AS 3105
SOX for the CPA
SSAE SOC Training

Virtual Auditor Focused Events

Virtual Internal Control Events

Virtual Information Technology Events

Virtual Insurance Industry Events


Events in the Archives
Auditor 301
Auditing Cyber
Broker Dealer Audits
Cyber Assessments Banks
COSO 2013: The Sequel
Cyber Programs
FCPA
I/A Basics for Banks
I/A Basics for Insurance
Inspection Reviews
Managing Requirements
OMB A-123
Quality-Audits

The Instructors

John Blackshire
David Marshall
Robert Berry
Tom Derise
Elliot Fisch
Jim George
Dave Kent
Amar Saini
Henry Schneider
Don West
Tom Wickes
Stanley I. Yaker

Business Partners

Infotech Global
The Accountware Group
 

Organizations Attending Seminars




Links to Professional Organizations

IIA
AICPA
ISACA
COSO
AAA
ACT
ASMC
AFWA
ASQ
ACAMA
ACAUS
ACUA
ACUIA
AGA
AHIA
ALGA
APPFA
BAI
BAP
CIMA
CCIA
CHEIA
DSP
GFOA
HFMA
IMA
IAFCI
INTOSAI
ISO
NABA
NACA
NASBA
NCCPAP
NACUBO
NACUSAC
NASBO
NASACT
NISAPA
NSA
SCCE


AML/BSA Basics and Compliance - 2 CPEs



Banking Industry Skills Events

Banking Focused Course

Selected Wednesdays at 1:00 p.m. Central Time

Presented by
Jim George

Find Next Event Now

AML BSA CPE CPA CIA IIA GAO CISA Internal Audit Training course Banking compliance best

Money laundering continues to be a major national concern.

High levels of drug-related activity and violence have drawn additional attention to this area of financial institution compliance.

Terrorist activities need to be considered as well. Perpetrators have adapted to a banks' efforts so that banks cannot combat the money laundering with yesterday's methods.

Software is widely installed to identify specific patterns and "unusual" transactions. But the fraudsters know this and are constantly striving to create new patterns where their transactions are designed not to be flagged. Like in a game of chess, the advantage goes to the side that thinks the most moves ahead.

FinCEN has issued substantial new AML requirements focused on a major expansion of Know Your Customer into what is now Customer Due Diligence, CDD. The requirements go far beyond the basic knowledge of the Customer Legal Entity to the Beneficial Owner of that entity and its Controlling Persons. The requirements force the bank to focus beyond the initial customer acceptance step, requiring updating and ongoing monitoring against baseline "normal" activity for the customer type.

The material in this valuable program is based on research and actual investigations. Mr. George spent over twenty years in Miami assisting retail banks. The instructor describes common laundering techniques and the bank policies and procedures that are needed to respond to these threats.

This timely, two hour CPE training event is designed for the internal auditor, compliance professional and others who wish to improve their AML and BSA tradecraft skills.

Follow the below links for further detail information:
. Seminar Highlights
. Learning Objectives
. Key Issues on the Agenda
. The Instructor

The retail cost of this 2 CPE seminar is $120.00 for the first attendee from a single organization. Discounts are available for more than one attendee from each organization: (2) $230.00 (3) $325.00 (4) $410.00 (5) $510.00.

To reserve your space, click here on "SIGN-UP NOW!". You have to complete the registration form and use the corresponding "Submit Registration Form and Move to Payment Options Page" button for filing the registration and moving to the payment page.

Each attendee will receive 2 CPE Hours (YB). A certificate of completion will be provided.

Program Level of Understanding: Basic
Prerequisites: None
Advance Preparation: None
Delivery Format: Group Internet Based
NASBA Field(s) of Study: Business Ethics
CPE Credits: 2, based on 50 minutes of instruction per hour

Testimonials:

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AML/BSA Basics and Compliance Events

July
12-16, 2021
Webinar Presentation
Wednesday, July 14, 2021 1:00 p.m. - 3:00 p.m. Central Time
Confirmed Event

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......
August
9-13, 2021
Webinar Presentation
Wednesday, August 11, 2021 1:00 p.m. - 3:00 p.m. Central Time
......

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......

AML/BSA Basics and Compliance

Public Presention on Thursdays in 2021

Signup Now

The Event will start at 1:00 p.m. Central Time

The retail cost of this 2 CPE event is $120 per attendee.

The public event will be two hours long.

Virtual CPE Events by Date

Auditor CPE Events

Banking Industry CPE Events

COSO 2013 CPE Events

Cyber & ITGC CPE Events

Internal Control CPE Events

Insurance Industry CPE Events

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CPE CPA CIA IIA GAO CISA Internal Audit AML BSA Training course Banking compliance best risk training course compliance NIST Principles framework standard report fraud best workpapers NASBA

Seminar Highlights

The event covers why money laundering is one of the primary regulatory concerns for any financial institution. The event will cover:
. The regulatory requirements that are in place,
. The current state of Customer Due Diligence compliance requirements,
. How to design internal controls and compliance processes,
. Process to create to detect money laundering attempts,
. Managing the Investigating of AML alerts,
. Analyzing controls improvement options.

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Learning Objectives

. Definition of money laundering
. History of money laundering
. Red flags of structuring
. Red flags of micro-structuring
. Red flags of cuckoo smurfing
. Allowing money laundering can affect the financial institution
. Communicating with the BSA officer
. The Red Flags for Identity Theft

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Key Issues on the Agenda

. Requirements of the Bank Secrecy Act (and related areas of the USA PATRIOT Act)
. Customer Due Diligence (CDD)
. Know Your Customer (KYC) requirements
. Currency Transaction Reports (CTRs) requirements
. Suspicious Activity Reports (SARs) requirements
. New Customer Due Diligence requirements
. Steps specifically required by the regulations
. Analytic engines
. Current issues and problems
. AML and Fraud overlaps
. Adaptation by perpetrators
. False Positive Problem
. Major fraud categories

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Jim G. George - The Instructor

Jim G. George is an independent consultant to banks focusing on issues of fraud, AML, and identity.

He has over 30 years of experience as a consultant and advisor to major banks. He was an associate partner and principal at PriceWaterhouse-Coopers Consulting, IBM Consulting in Bank Risk and Compliance, and Andersen Consulting (now Accenture).

He was a senior vice president for operations for a Fortis-US division providing outsourcing services to the banking industry.

His work experiences include projects in fraud investigation, fraud prevention, identity issues, compliance, and AML (anti-money laundering). Jim's background also includes work in bank operations and payments strategy, reengineering, systems, and quality improvement. He assisted a Justice Department led Federal taskforce investigating a very large money laundering situation.

He has an M.B.A. from Purdue University, Krannert School of Management. This was after he received his B.S. in Mechanical Engineering also from Purdue University.

He has a very strong math background including graduate level computer science and statistical training. In addition he worked with Neural net, unusual behavior alerting and other artificial intelligence and decision support software.

He was also a Presidential Interchange Executive. He was competitively selected and served as a Federal executive during a one-year leave of absence. He worked in the Office of Management and Budget and at the Department of Housing and Urban Development in Washington D.C.

Tradecraft

Tradecraft, within the internal and external auditing communities, refers to the techniques, methods and technologies used in modern financial and internal auditing and generally, as part of the activity of creating assurance.

Honing client interaction skills can significantly improve the effectiveness of audit engagements.

This includes general topics or techniques (interviewing, for example), or the specific techniques of an organization (the particular form of performance improvement (Lean Six Sigma), for example).

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Seminar Schedule

Experts Providing Internal Audit Training Events

Corporate Compliance Seminars (CCS) was created by experts who enjoy providing CPE training events. All our experts have years of experience in providing training courses, workshops and consulting on internal controls, internal auditing, information technology, cybersecurity and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, CMMI, GRC, GAAP, IFRS, AICPA, GAO, NAIC, ISO, and IIA Standards. We are your best source for continuing professional education (CPE).

Our programs, live in-person, webinar and on-demand, provide CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations. CCS is focused on providing the best learning programs in using three distinct distribution channels: live in-person events, virtual webinar events and on-demand self-study e-learning.

Corporate Compliance Seminars presents CPE to a range of professionals, auditors, accountants, finance staff, compliance personnel, information technology (IT) professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule (MAR) compliance, auditing, internal controls, cybersecurity and compliance, and fraud prevention and detection.

Within the U.S.A. marketplace, Corporate Compliance Seminars allows the attendee to earn NASBA CPE credit.

Our events focus on the details of the Sarbanes-Oxley Act of 2002 (SOX), Internal Controls over Financial Reporting (ICFR), Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Frameworks, ISACA's Control Objectives over Information Technology (COBIT), Information Technology Infrastructure Library (ITIL), Open Compliance & Ethics Group's (OCEG) Governance, Risk & Compliance (GRC) methodology, PCAOB's Auditing Standard 5 (AS5), AICPA auditing standards, and NAIC regulatory model regulations and acts .

Our live in-person events are generally presented in a small classroom setting with two to five attendees. Over the last few weeks, we have come to the understand we need to provide distant e-learning events. We are now in the process of moving all our content to an online available status. We have created distant e-learning opportunities using both a virtual webinar event approach and on-demand e-learning self-study modules. These two e-learning approaches: webinars and on-demand self-study with extended web access to our content into the global continuing professional development (CPD) marketplace. In the webinar e-learning events we will limit the number of students to maximize the interaction between the live instructor and attendees. The on-demand self-study e-learning modules will be created and offered to meet the NASBA CPE credit requirements .

Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging internal audit training courses.

Our instructors have had direct experience in the following industries: financial activities, bank, insurance, healthcare, construction, leisure and hospitality, professional and business services, mining and oil & gas extraction, manufacturing, educational, government agencies, transportation, software, technical, hi-tech and agricultural.

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On-Site/Custom Seminars

On-site/Custom Training
We can provide training seminars at your company's location. Contact us for details.

NASBA Member

Corporate Compliance Seminars

CCS Terms & Conditions


Audit Sampling



Forensic & Investigative Accounting

Internal Auditor 101 Training Course


Internal Auditor 201 Training Course


Internal Audit Basic Training


Internal Audit Advanced Training


The Art of Internal Audit Reporting


Understanding Cybersecurity Risk Training


Cybersecurity Risk Programs Training


Cybersecurity Risk Tools Training


NAIC Cybersecurity Risk Compliance


COSO Multiday Training Academy


Using COSO Multiday Training Course


Continuous Auditing & Monitoring


Ethics for the CIA, CPA, CFE and CISA


Frauditing Training Course


The GAO Green Book Seminar


The GAO Green Book Multiday Academy


ICFR Assessments Training Course


IT General Controls Training Course


Medicaid Cost Reporting - Texas


NAIC MAR Program


NAIC MAR Compliance


SSAE SOC Audit Training Course


World Class ERM Training Course


Testimonials


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Resources

Resources for Auditors
Recent Issues Links
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List of All Seminars

Audit Awesomeness
Active Listening
Ask Better
Audit Committee
Audit Quality
Audit Sampling
Auditing Procure to Pay
Auditing Social Media
Internal Auditor 101
Internal Auditor 201
Internal Audit Basics
Internal Audit Advanced
COBIT Framework
COSO Academy
Using COSO
Conflict Resolution
Continuous Auditing
Cyber Risk Programs
Cyber Program Tools
Ethics for CPAs
Forensic Accounting
Frauditing Training
Green Book Course
Green Book Academy
ICFR Assessments
ITGC Course
Knowing IT
Medicaid Cost Reporting
NAIC Cybersecurity
NAIC MAR Program
NAIC MAR Compliance
PCAOB Inspection Recap
PCAOB Tradecraft
PCAOB Standards
PCAOB AS 2315-Overview
PCAOB AS 2315-Substantive
PCAOB AS 2315-Controls
PCAOB AS 2501
PCAOB Tradecraft
Project Management
PMP 5 Day
Remote Auditing
Report Writing
Risk Identification
SOX Compliance
SOX for the CPA
SSAE SOC Audits
Talent Management
Understanding Cybersecurity
Using COSO
World Class ERM



 

Corporate Compliance Seminars
     


Instructor-lead virtual seminars are presented via live internet connections due to COVID-19

Corporate Compliance Seminars is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

In accordance with the standards of the National Registry of CPE Sponsors, CPE credits have been granted based on a 50-minute hour.

National Registry of CPE Sponsors ID #108983

Complaints may also be forwarded to the company principals, David S. Marshall (708-205-2366; davem@cseminars.com) and/ or John Blackshire (479-200-4373; johnb@cseminars.com).