ComplianceOnline

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

Appraisal Function: What Many Banks Get Wrong
22
/ Oct
Tuesday-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
Fair Debt Collection Practices Act - FDCPA, FCRA, Easily-Broken HIPAA, Civil Liability, Bad Check Laws, Promissory Notes, Mini-Miranda Warning
22
/ Oct
Tuesday-2019

Fair Debt Collection Practices Act - FDCPA, FCRA, Easily-Broken HIPAA, Civil Liability, Bad Check Laws, Promissory Notes, Mini-Miranda Warning

  • Speaker: David Sanders
  • Product ID: 704686
  • Duration: 90 Min
In this fast-paced and informative training program, attendees will learn exactly what violates the Fair Debt Collection Practices Act (FDCPA) and other laws that lead to costly fines and judgments. The program will also overview consumer vs. commercial bankruptcy and the differences between Chapter 7, 11 and 13.
* Per Attendee
$199
Monitoring High Risk Transactions
23
/ Oct
Wednesday-2019

Monitoring High Risk Transactions

  • Speaker: Doug Keipper
  • Product ID: 703001
  • Duration: 60 Min
This BSA/AML (Bank Secrecy Act/ Anti Money Laundering) compliance training will help attendees understand, identify and mitigate the risks associated with high risk transactions.
* Per Attendee
$199
Implementing Operational Risk Management in Foreign Exchange Activities
23
/ Oct
Wednesday-2019

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
ACH Government Payment Processing - Handling Death Notification Entries (DNEs) and Reclamations
12
/ Nov
Tuesday-2019

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.
* Per Attendee
$199
Building a World Class Accounts Payable Operation: P2P, AP
13
/ Nov
Wednesday-2019

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.
* Per Attendee
$179
Continuous Monitoring Projects in Purchasing and Accounts Payable - How to Detect Anomolies
15
/ Nov
Friday-2019

Continuous Monitoring Projects in Purchasing and Accounts Payable - How to Detect Anomolies

  • 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
Implementing P-Card Policies, Procedures, and Internal Controls Best Practices
15
/ Nov
Friday-2019

Implementing P-Card Policies, Procedures, and Internal Controls Best Practices

  • Speaker: Chris Doxey
  • Product ID: 703920
  • Duration: 60 Min
This training program will discuss how purchasing cards (P Cards) provide a means for streamlining the procure-to-pay process, allowing organizations to procure goods and services in a timely manner, reduce transaction costs, track expenses, take advantage of supplier discounts, reduce or redirect staff in the purchasing and/or accounts payable departments, reduce or eliminate petty cash, and more. It will also illustrate how a P-Card program can create additional fraud risk and requires robust policies, procedures, and internal controls.
* Per Attendee
$199
The Fraud Risk Mitigation Cycle: Powerful Detection and Prevention Framework
18
/ Nov
Monday-2019

The Fraud Risk Mitigation Cycle: Powerful Detection and Prevention Framework

  • Speaker: Peter Goldmann
  • Product ID: 703154
  • Duration: 90 Min
This training program will facilitate participants’ understanding of fraud risks, detecting fraud indicators, gathering evidence to substantiate suspicions of actual wrongdoing and eliminating control weaknesses in all pertinent business functions.
* Per Attendee
$199
Weed, Cocaine and Heroin: What it Means to Your Bank or Credit Union?
20
/ Nov
Wednesday-2019

Weed, Cocaine and Heroin: What it Means to Your Bank or Credit Union?

  • Speaker: Doug Keipper
  • Product ID: 705440
  • Duration: 60 Min
This webinar will focus on the today’s marketplace for weed, cocaine and opioids including heroin. It will cover topics such as FinCEN’s expectations regarding Marijuana-related businesses, drug enforcement agency fact sheets, FBI and DEA documentary on opioid abuse, summary review of transactions and much more.
* Per Attendee
$199
How to Build and Use a Risk Bow Tie
21
/ Nov
Thursday-2019

How to Build and Use a Risk Bow Tie

  • Speaker: Mario Mosse
  • Product ID: 705009
  • Duration: 90 Min
This training program will define and discuss the bowtie risk assessment method used to analyze and establish causal relationships in high risk scenarios. Named after the shape of the diagram created, bowties provide an excellent visual representation of the potential causes and consequences of a risk scenario and help ensure that all relevant information is identified and properly assessed.
* Per Attendee
$199
Personal and Business Tax Returns Analysis - 1040 Federal Tax Returns, K-1 Forms and Tax Code Updates
22
/ Nov
Friday-2019

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.
* Per Attendee
$149
Travel Pay: Handling it Correctly
22
/ Nov
Friday-2019

Travel Pay: Handling it Correctly

  • Speaker: Vicki M. Lambert
  • Product ID: 703941
  • Duration: 90 Min
This training program will discuss the rules and regulations that must be followed when paying an employee for travel pay. The course will elaborate what is travel pay, best practices for handling the payments, how it affects overtime calculations and what is required on the state level. It will also discuss the requirements for taxing travel expenses under IRS rules.
* Per Attendee
$199
Conducting Your "NEW 2019” Annual ACH Rules Compliance Audit - a Step-by-Step Guide
4
/ Dec
Wednesday-2019

Conducting Your "NEW 2019” Annual ACH Rules Compliance Audit - a Step-by-Step Guide

  • Speaker: Donna K Olheiser
  • Product ID: 705082
  • Duration: 90 Min
This training program will outline the recent changes to the process of the annual ACH Rules Compliance Audit and the removal of Appendix 8 from the Rules Book. It will outline what this Rules change means to your process when conducting your ACH Audit and offer tips and guidance for creating your own personalized ACH Audit. It will also help attendees to identify the details of the ACH audit for each participant, the ODFI, RDFI, TPSP and TPS with NACHA’s Operating Guidelines.
* Per Attendee
$249
The AbC's and Xyz's of Correcting IRS Forms
9
/ Dec
Monday-2019

The AbC's and Xyz's of Correcting IRS Forms

  • Speaker: Vicki M. Lambert
  • Product ID: 704064
  • Duration: 90 Min
This training program will discuss how to correct Form 941 when an error has been discovered after it has been filed. It will examine when to use Form W-2c to correct the employee’s year-end information after the Form W-2 has been given to the employee as well as before and after the form has been filed with the Social Security Administration. The course will also review how to file an amended return for Form 940.
* Per Attendee
$149
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
Understanding International ACH Transaction

Understanding International ACH Transaction

  • Speaker: Jane Hennessy
  • Product ID: 703432
  • Duration: 60 Min
This webinar will explain concept of ACH, how it works, rationale for choosing it and how it differs from US domestic ACH. It will also discuss what International Payments Framework Association (IPFA) is and how does it address International ACH issues. Instructor will cover the relevance of Customer benefits and value proposition regarding ACH and why it should be preferred over wire transfers.
CD/Recorded
$249
Recorded/CD
BSA/AML Hot Topics - What is on the Horizon

BSA/AML Hot Topics - What is on the Horizon

  • Speaker: Gina Lowdermilk
  • Product ID: 703495
  • Duration: 60 Min
This webinar will highlight current and potential BSA hot topics and areas of interest that are being acknowledged and recognized by regulators and examiners. It will look at these areas and the specifics of each area as it pertains to BSA.
CD/Recorded
$249
Recorded/CD
New NACHA Operating Rules Changes 2020 and Beyond!

New NACHA Operating Rules Changes 2020 and Beyond!

  • Speaker: Donna K Olheiser
  • Product ID: 705048
  • Duration: 90 Min
This webinar will provide all the details on the most recent and upcoming NACHA Operating Rules changes that affect you as a participant in the ACH network, whether you are an ODFI, an RDFI or a TPS (Third-Party Sender) or TPSP (or Third Party Service Provider). Multiple Rules Changes, NACHA Operations Bulletins, Supplements to the Rules along with examples and explanations of what they each mean to you as a participant will be discussed.
CD/Recorded
$249
Recorded/CD
Implementing Financial Dashboards: Moving Beyond Metrics

Implementing Financial Dashboards: Moving Beyond Metrics

  • Speaker: Chris Doxey
  • Product ID: 704501
  • Duration: 60 Min
This training program will explore how the initiatives that have the most value and result in true continuous improvement efforts are often the ones that are developed by a specific operational area such as accounts payable. If a metrics program is developed by the business owner of an operation, the results will be well defined and will represent the process components very well and will help to drive results. With a real time dashboard, actions can be immediately taken based on the results.
CD/Recorded
$249
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