ComplianceOnline

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

Help your staff understand the basic regulatory requirements and also the small details which if overlooked could potentially have a big impact on your business. Ensure that your teams are knowledgeable about how the SOX compliance processes should be aligned with the relevant frameworks. Explore our wide range of training programs for Finance, SOX, and Internal Controls Regulatory Compliance.

Red Flags of Money Laundering
1
/ Apr
Thursday-2021

Red Flags of Money Laundering

  • Speaker: Doug Keipper
  • 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
CRA (Sunshine Act) and your Reporting Requirements
6
/ Apr
Tuesday-2021

CRA (Sunshine Act) and your Reporting Requirements

  • Speaker: Thomas Nollner
  • Product ID: 705363
  • Duration: 60 Min
This course will discuss disclosure and reporting requirements on banks and other insured depository institutions with respect to certain agreements related to the Community Reinvestment Act (CRA) as imposed by the Gramm-Leach-Bliley Act. The CRA Sunshine statute requires certain CRA-related agreements to be publicly disclosed and reported upon annually.
* Per Attendee
$159
Updates to the Nacha Operating Rules Changes for 2021 and 2022
7
/ Apr
Wednesday-2021

Updates to the Nacha Operating Rules Changes for 2021 and 2022

  • Speaker: Donna K Olheiser
  • Product ID: 705048
  • Duration: 90 Min
This session will provide the for changes to the Same Day ACH (SDA) environment (effective March 2021), the Unauthorized Return process with a new Return Reason Code R11 and the ACH Contact Registry (both effective right now in 2020 – NEW!!! and more! Details on the new proposed amendment to the Nacha Operating Rules regarding Account Information Improvements Through the ACH Network, with a proposed effective date of March 18, 2022. PLUS, Limitation on Warranty Claims, the Reversal Process and Rules Enforcement changes surrounding reversals, and Meaningful Modernization to enhance the ACH Network to keep up with changes in the payments landscape (all effective in 2021).
* Per Attendee
$199
Advanced Tax Return Analysis for the Banker
12
/ Apr
Monday-2021

Advanced Tax Return Analysis for the Banker

  • Speaker: David L Osburn
  • Product ID: 705086
  • Duration: 90 Min
This webinar will provide bankers with several advanced tax return concepts and related analyses to help them more effectively work with their business customers. It will discuss corporate tax issues including business structure, Section 179 depreciation, and bonus depreciation as well as employer provided benefits including “qualified retirement plans” and health savings accounts (HSAs).
* Per Attendee
$199
Business Writing for Financial Professionals
13
/ Apr
Tuesday-2021

Business Writing for Financial Professionals

  • Speaker: Phil Vassallo
  • Product ID: 703262
  • Duration: 90 Min
This training on business writing will provide attendees tools and tips for effectively writing financial documents for diverse audiences. Learn best practices for getting an immediate response to any written document.
* Per Attendee
$199
Supply Chain and Product Compliance Using RoHS, REACH, and Conflict Minerals
14
/ Apr
Wednesday-2021

Supply Chain and Product Compliance Using RoHS, REACH, and Conflict Minerals

  • Speaker: Kelly Eisenhardt
  • Product ID: 703871
  • Duration: 60 Min
This training program will offer an in-depth look at three important product regulations focused on materials compliance and ethical sourcing, along with the tools and policies needed to implement them.
* Per Attendee
$199
Writing an Effective SAR Narrative
14
/ Apr
Wednesday-2021

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
Implementing Operational Risk Management in Foreign Exchange Activities
19
/ Apr
Monday-2021

Implementing Operational Risk Management in Foreign Exchange Activities

  • Speaker: Stanley Epstein
  • Product ID: 704115
  • Duration: 90 Min
This webinar seeks to provide a solid foundation to all parties involved in foreign exchange activities whether at executive, marketing, audit or operational levels into how the actual trading processes work, what the risks are and how these can be mitigated by using clearly defined standards of best practice.
* Per Attendee
$199
BSA/AML Contextual Awareness of High Risk Customers
27
/ Apr
Tuesday-2021

BSA/AML Contextual Awareness of High Risk Customers

  • Speaker: Doug Keipper
  • Product ID: 705472
  • Duration: 60 Min
This webinar will highlight the steps to identify and evaluate high-risk customers. Learn how to perform BSA, AML risk assessments.
* Per Attendee
$199
Purchase Order Fundamentals
10
/ May
Monday-2021

Purchase Order Fundamentals

  • Speaker: Kenneth Jones
  • Product ID: 705430
  • Duration: 90 Min
This webinar will cover the fundamentals of procurement process and how to use purchase order system. Attendees will lean best practices to avoid pitfalls when creating a purchase order.
* Per Attendee
$199
How to Prepare an Effective Audit Manual for an Internal Audit Department
19
/ May
Wednesday-2021

How to Prepare an Effective Audit Manual for an Internal Audit Department

  • Speaker: Marna Steuart
  • Product ID: 703684
  • Duration: 75 Min
This webinar will instruct attendees on how to develop an internal audit manual and offer start to finish instructions and templates on how to perform different types of audits given the project description. Audit fieldwork, audit reporting and follow-up, work-paper filing, and project closure are some of the other areas the webinar will cover.
* Per Attendee
$199
FFIEC BSA/AML Examination Manual: What Compliance Officers Really Need to Know?
2
/ Jun
Wednesday-2021

FFIEC BSA/AML Examination Manual: What Compliance Officers Really Need to Know?

  • Speaker: Doug Keipper
  • Product ID: 703792
  • Duration: 60 Min
This webinar will go through every section of the revised FFIEC Bank Secrecy Act/Anti-Money Laundering Examination Manual to highlight changes and areas where banks should review their internal policies, processes and procedures for compliance. Understanding these changes will keep you prepared and updated for your next BSA/AML examination.
* Per Attendee
$179
Recorded/CD
Building a World Class Accounts Payable Operation: P2P, AP

Building a World Class Accounts Payable Operation: P2P, AP

  • Speaker: Brian G Rosenberg
  • Product ID: 703979
  • Duration: 60 Min
This training program will help attendees examine if their AP department matches world-class standards. Attendees will learn key success factors to an optimal accounts payable operation. They will also gain in depth knowledge on the must-have technologies for any AP operation and learn how to design processes to fully leverage those capabilities. The webinar will also discuss balancing controls with efficiency and how to create a fraud-proof department. Attendees will learn about the most important metrics for any AP department and how to develop strategies to improve those metrics.
CD/Recorded
$229
Recorded/CD
Critical Anti-Fraud Audits under Procurement and Accounts Payable

Critical Anti-Fraud Audits under Procurement and Accounts Payable

  • Speaker: Marna Steuart
  • Product ID: 703533
  • Duration: 60 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.
CD/Recorded
$249
Recorded/CD
Tax Evasion and Tax Fraud - What it means to you when monitoring BSA and filing SARs

Tax Evasion and Tax Fraud - What it means to you when monitoring BSA and filing SARs

  • Speaker: Doug Keipper
  • Product ID: 703110
  • Duration: 60 Min
This training on BSA compliance will help you understand the concept of tax evasion and tax fraud and the difference between the two. Learn the best practices to identify tax fraud and how to report suspicious activity.
CD/Recorded
$249
Recorded/CD
Key Ratio Analysis - Calculating and Interpreting the Numbers Correctly

Key Ratio Analysis - Calculating and Interpreting the Numbers Correctly

  • Speaker: David L Osburn
  • Product ID: 704967
  • Duration: 90 Min
This training program will provide financial professionals guidance on key ratio analysis. It will also detail a five-step analysis plan to calculate the key ratios covering liquidity, activity, leverage, operating performance, and cash flow analysis.
CD/Recorded
$229
Recorded/CD
Digital Payments 2021 - The future of Payments

Digital Payments 2021 - The future of Payments

  • Speaker: Stanley Epstein
  • Product ID: 704753
  • Duration: 120 Min
This webinar examines the current state of the payments industry - from the complexity of the current payments landscape, the growing range of bank and non-bank participants, the ever-increasing range of payments methods, interfaces and systems, open banking, regulation and the future payments scene. We also look at how the COVID-19 pandemic has and will continue to affect payments.
CD/Recorded
$299
Recorded/CD
ACH Government Payment Processing - Handling Death Notification Entries (DNEs) and Reclamations

ACH Government Payment Processing - Handling Death Notification Entries (DNEs) and Reclamations

  • Speaker: Donna K Olheiser
  • Product ID: 704540
  • Duration: 90 Min
This 90-minute session will discuss details about how processing federal government payments differ from the NACHA Operating Rules. You will learn what the green book is and how this valuable on-line tool will help you with processing DNE’s and government reclamations. Commercial reclamations differ from federal government reclamations; the speaker will cover the difference between the two.
CD/Recorded
$249
Recorded/CD
Travel and Expense Policy Development and Automation

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.
CD/Recorded
$229
Recorded/CD
Personal and Business Tax Returns Analysis - 1040 Federal Tax Returns, K-1 Forms and Tax Code Updates

Personal and Business Tax Returns Analysis - 1040 Federal Tax Returns, K-1 Forms and Tax Code Updates

  • Speaker: David L Osburn
  • Product ID: 705011
  • Duration: 90 Min
This personal and business tax returns analysis training program will focus on key areas such as 1040 federal tax returns, K-1 forms, and tax code updates and how they affect bank’s clients. It will also discuss the structure of a C corporation, S corporation, and Partnership (including LLC) tax return.
CD/Recorded
$249
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