ComplianceOnline

Finance, SOX and Internal Controls Regulatory Compliance Training - Live Webinars, Recordings & CDs

The Alarming State of Wire Transfer Fraud
20
/ Feb
Wednesday-2019

The Alarming State of Wire Transfer Fraud

  • Speaker: Rayleen M Pirnie
  • Product ID: 705070
  • Duration: 90 Min
Wire transfer fraud has often rendered businesses and financial institutions helpless despite their best efforts to combat the threat. This training program will identify the red flags of common forms of wire transfer fraud and help understand how you can isolate your organization and help combat fraud. The webinar instructor will also review sound risk assessment practices to help minimize exposure.
* Per Attendee
$199
Guidelines for Performing a Corporate Wide Internal Audit Risk Assessment
21
/ Feb
Thursday-2019

Guidelines for Performing a Corporate Wide Internal Audit Risk Assessment

  • Speaker: Marna Steuart
  • Product ID: 703775
  • Duration: 100 Min
Performing a corporate wide risk assessment is doable, and can provide internal audit and its organization a roadmap for the upcoming audit year. In this webinar, participants will learn how to maximize the time spent on the risk assessment process on an annual basis.
* Per Attendee
$199
Travel and Expense Policy Development and Automation
22
/ Feb
Friday-2019

Travel and Expense Policy Development and Automation

  • Speaker: Brian G Rosenberg
  • Product ID: 704880
  • Duration: 60 Min
In this webinar training, you will learn how to create, maintain, and enforce a T&E policy for your organization. The Instructors will discuss the key components and best practices for policies.
* Per Attendee
$179
Payments Fraud: Detect and Prevent Check, ACH and P-Card Schemes
26
/ Feb
Tuesday-2019

Payments Fraud: Detect and Prevent Check, ACH and P-Card Schemes

  • Speaker: Peter Goldmann
  • Product ID: 704774
  • Duration: 90 Min
This training program will examine vendor/billing schemes that exploit payments process control weaknesses; latest electronic payments schemes (ACH hijacking, spear-phishing, social engineering); check counterfeiting, forgery and tampering schemes to be aware of; and, detecting common external payments schemes versus internal attacks.
* Per Attendee
$199
Red Flags of Money Laundering
26
/ Feb
Tuesday-2019

Red Flags of Money Laundering

  • Speaker: William Schlameuss
  • Product ID: 703417
  • Duration: 60 Min
This webinar will explain what money laundering is, various types of money laundering including structuring, micro-structuring and cuckoo smurfing. Attendees will learn how to identify the red flags of money laundering in an account within your institution.
* Per Attendee
$199
SR Letter 11-7 - Supervisory Guidance on Model Risk Management
28
/ Feb
Thursday-2019

SR Letter 11-7 - Supervisory Guidance on Model Risk Management

  • Speaker: Mario Mosse
  • Product ID: 703995
  • Duration: 90 Min
This training program will detail why SR Letter 11-7 has become the gold standard for model risk management, with its principle being adopted not only by banks but also virtually all U.S. financial institutions.
* Per Attendee
$199
Mortgage Servicing Compliance: Meeting Extensive New Regulatory Expectations
28
/ Feb
Thursday-2019

Mortgage Servicing Compliance: Meeting Extensive New Regulatory Expectations

  • Speaker: Craig M Taggart
  • Product ID: 704480
  • Duration: 90 Min
This training program will discuss Fair Debt Collection Practices Act (FDCPA) rules, ARM (adjustable rate mortgage) change notification requirements, dealing with partial payments, providing payoff statements, and more.
* Per Attendee
$199
Developing an Effective Fraud Risk Management Program
4
/ Mar
Monday-2019

Developing an Effective Fraud Risk Management Program

  • Speaker: Craig M Taggart
  • Product ID: 703862
  • Duration: 90 Min
The risk of fraud is just one of the many types of risks to be managed by an organization. But to let this risk fall out of focus can bring catastrophic results. Building an effective fraud risk management program to combat organizational fraud requires solid understanding of how and why fraud is perpetrated. This course will discuss the components of a fraudulent act, different types of fraud schemes and the impact fraud has on organizations. It will also analyze why individuals commit fraud and why the threat of punishment alone doesn’t deter potential fraudsters.
* Per Attendee
$199
Writing an Effective SAR Narrative
5
/ Mar
Tuesday-2019

Writing an Effective SAR Narrative

  • Speaker: Doug Keipper
  • Product ID: 702993
  • Duration: 60 Min
This BSA compliance training on Suspicious Activity Reporting (SAR) will provide details on how to prepare a SAR (Suspicious Activity Reporting) narrative that meets examiner scrutiny and provides necessary detail for law enforcement.
* Per Attendee
$149
Form W-4 for 2019: Best Practice and Compliance Requirements
7
/ Mar
Thursday-2019

Form W-4 for 2019: Best Practice and Compliance Requirements

  • Speaker: Vicki M. Lambert
  • Product ID: 703858
  • Duration: 90 Min
This webinar covers the IRS Form W-4 for 2019 including the requirements for completing the form properly, handling non-resident aliens, state equivalent forms, record retention and processing the form electronically instead of on paper. We also cover the changes to the 2019 form caused by the Tax Cuts and Jobs Act and give information on the related anticipated changes to Form W-4 for 2020. We will also discuss best practices for processing more efficiently within the department.
* Per Attendee
$229
Excel Data Visualization - Charts and Infographics
7
/ Mar
Thursday-2019

Excel Data Visualization - Charts and Infographics

  • Speaker: Mike Thomas
  • Product ID: 705088
  • Duration: 90 Min
In this session, participants will learn how to visually represent your data using both traditional charts (bar charts, line charts etc.) as well as how to do the same using some of Excel's non-charting tools.
* Per Attendee
$149
Preparing for a BSA/OFAC Regulatory Examination
12
/ Mar
Tuesday-2019

Preparing for a BSA/OFAC Regulatory Examination

  • Speaker: Vicki Landon
  • Product ID: 703554
  • Duration: 60 Min
This webinar will address steps a company can take in advance to optimize the progress of a BSA/OFAC regulatory examination. It will provide guidelines for positively and accurately representing your AML and OFAC programs to regulators for the most efficacious outcome.
* Per Attendee
$149
ACH 101 for Originators
12
/ Mar
Tuesday-2019

ACH 101 for Originators

  • Speaker: Rayleen M Pirnie
  • Product ID: 705184
  • Duration: 90 Min
While breaking down the ACH Rules book, this webinar training will explore originator (i.e. business) obligations, help identify participants and transactions, and analyze important processing rules. The course will also discuss the benefits of ACH and the process flow, including debit and credit transactions.
* Per Attendee
$199
Appraisal Function: What Many Banks Get Wrong
13
/ Mar
Wednesday-2019

Appraisal Function: What Many Banks Get Wrong

  • Speaker: Heidi Lee
  • Product ID: 705168
  • Duration: 90 Min
This training program will focus on the most important elements of the appraisal regulations that foster safety and improves financial institutions’ regulatory compliance. It will also discuss best practices for integration of the Interagency Appraisal and Evaluation Guidelines into an institution’s appraisal policy and practices, and outline the importance of a risk-based decision process within the appraisal function that is uninfluenced by other departments.
* Per Attendee
$199
Critical Anti-Fraud Audits under Procurement and Accounts Payable
14
/ Mar
Thursday-2019

Critical Anti-Fraud Audits under Procurement and Accounts Payable

  • Speaker: Marna Steuart
  • Product ID: 703533
  • Duration: 100 Min
This webinar will explain how to perform anti-fraud audits in the purchasing/accounts payable cycle. It will discuss the use of Audit Control Language (ACL) and how this tool and other tools like it (IDEA) are helpful in the analysis of accounts payable and purchasing data.
* Per Attendee
$199
Recorded/CD
EDD what are the auditors looking for?

EDD what are the auditors looking for?

  • Speaker: Vicki Landon
  • Product ID: 703455
  • Duration: 90 Min
This webinar will explain the concept of Enhanced Due Diligence (EDD), including EDD time tables and checklist. Attendees will learn how to conduct Enhanced Due Diligence (EDD) that will satisfy the auditors.
CD/Recorded
$249
Recorded/CD
FATCA - The Foreign Accounts Tax Compliance Act

FATCA - The Foreign Accounts Tax Compliance Act

  • Speaker: Miles Hutchinson
  • Product ID: 703242
  • Duration: 90 Min
This training on Foreign Accounts Tax Compliance Act will teach the attendees best practices to ensure compliance with FATCA. Learn how to comply with your withholding and reporting obligations.
CD/Recorded
$249
Recorded/CD
Excel as a BI Tool - Creating a Dashboard

Excel as a BI Tool - Creating a Dashboard

  • Speaker: Mike Thomas
  • Product ID: 705481
  • Duration: 90 Min
In this webinar, attendees will learn how to create a stunning, interactive professional-looking dashboard using Excel. This training will provide you with a solid foundation that you can use to build your own dashboards and reports.
CD/Recorded
$179
Recorded/CD
FinCEN Final Rule on Customer Due Diligence Requirements | BSA/AML Policy, CIP Procedure

FinCEN Final Rule on Customer Due Diligence Requirements | BSA/AML Policy, CIP Procedure

  • Speaker: Gina Lowdermilk
  • Product ID: 704927
  • Duration: 60 Min
This webinar will explain the requirements of the CDD Rule and its implications. The instructor will help Interpreting key definitions and type of information your institution will need to obtain from customers. He will also discuss how to identify potential changes/updates you may need to make to your BSA Policy, including CIP procedures, and account opening processes. Participants will gain understanding on recordkeeping requirements and understand the kinds of training the new rule requirements will necessitate.
CD/Recorded
$249
Recorded/CD
Recurring Deficiencies in Compilations and Reviews and How to Avoid Them - SSARS Procedures, Reports and Accounting Matters

Recurring Deficiencies in Compilations and Reviews and How to Avoid Them - SSARS Procedures, Reports and Accounting Matters

  • Speaker: Candace Leuck
  • Product ID: 704538
  • Duration: 90 Min
This webinar will discuss common deficiencies that are discovered in compilation and review engagements, as a result of peer review. It will explain the difference between minor deficiencies and major deficiencies. Instructor will discuss how to avoid these common mistakes and what the most common deficiencies are.
CD/Recorded
$249
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