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SCCE Compliance Auditing & Monitoring Conference

Real-Time Transaction Monitoring: Satisfying Regulatory Expectations of Immediate Detection of Wrongdoing

2:30 PM CDT – 3:30 PM CDT

We are actively monitoring attendance. At random times throughout this session, you will be prompted with a pop-up to confirm that you are still actively participating in the virtual session. You will not see the pop ups if you are in full screen mode or your pop-up blocker is on. In addition, make sure you are disconnected from any VPN as they can also cause interference and that you have a stable internet connection (hard line is always best).Active attendance monitoring is only required if you will be requesting external CEUs for NASBA or CLE credits. If you only need Compliance Certification Board (CCB)® CEUs, it is not required to participate in active monitoring.

Learning Objectives:

  • Learn how to monitor transactional data for risks related to fraud, bribery, and sanctions
  • Learn how to collect key data, process and analyze it, and action the resulting insights
  • Understand how monitoring can help to continuously improve your compliance program


Lucy Wang
Director, Anti-Fraud Initiatives, The Center For Audit Quality

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Jenna Voss
Partner, Forensic Risk Alliance

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Mihnea Sebastian Rotariu
Risk and Compliance Analytics Director, Lextegrity

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