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Home › Online Training ›  Finance, Sox & Internal control

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

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BSA/ AML - Following the Money, the Difference between Money Laundering and Terrorist Financing and How to Combat Both
23
/ Aug
Friday-2019

BSA/ AML - Following the Money, the Difference between Money Laundering and Terrorist Financing and How to Combat Both

  • Speaker: Jason Simpson
  • Product ID: 703055
  • Duration: 60 Min
This AML training will provide you the tools to identify the differences between money laundering and terrorist financing and how to protect your financial institute against potential criminal activity. It will also highlight the complexities of modern day proactive compliance departments.
* Per Attendee
$199
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Supply Chain and Product Compliance Using RoHS, REACH, and Conflict Minerals
23
/ Aug
Friday-2019

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
$149
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EBIT/EBITDA - Understanding Your Profit and Loss Statement
29
/ Aug
Thursday-2019

EBIT/EBITDA - Understanding Your Profit and Loss Statement

  • Speaker: Gina Lowdermilk
  • Product ID: 704091
  • Duration: 60 Min
This training program will review different types profit and loss statements, including a QuickBooks profit and loss standard layout as a complex, multi-fund example. Attendees will learn how to analyze growth or loss within a business or department by comparing progressive reports.
* Per Attendee
$199
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BSA/AML Contextual Awareness of High Risk Customers
29
/ Aug
Thursday-2019

BSA/AML Contextual Awareness of High Risk Customers

  • Speaker: William Schlameuss
  • 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
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TIN Matching and B Notices - How to Minimize the Paperwork from Complaints on IRS Information Returns
12
/ Sep
Thursday-2019

TIN Matching and B Notices - How to Minimize the Paperwork from Complaints on IRS Information Returns

  • Speaker: Miles Hutchinson
  • Product ID: 703028
  • Duration: 90 Min
This IRS regulatory compliance training will explain the TIN matching system best practices to eliminate form 1099 reporting errors. It will also provide you the tools to effectively handle B- Notices in order to avoid fines and penalties.
* Per Attendee
$199
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SR Letter 11-7 - Supervisory Guidance on Model Risk Management
13
/ Sep
Friday-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
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Refresher for Bankers: Accounting Crash Course - All You Need to Know
16
/ Sep
Monday-2019

Refresher for Bankers: Accounting Crash Course - All You Need to Know

  • Speaker: David L Osburn
  • Product ID: 704608
  • Duration: 60 Min
This training program will provide the banker with an effective overview of the basics/refresher of accounting. With the tools reviewed in this webinar, the often complex world of accounting will be presented in a straight-forward and useful manner. This is a must for all bankers looking to improve their knowledge of the vital discipline of accounting.
* Per Attendee
$199
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How to Identify and Monitor Your High Risk Customers
16
/ Sep
Monday-2019

How to Identify and Monitor Your High Risk Customers

  • Speaker: Thomas Nollner
  • Product ID: 705391
  • Duration: 60 Min
Learn practical steps to properly identify and evaluate high-risk customers. We will discuss the expected approach for financial institutions as defined by the recent guidance for Enhanced Due Diligence. Learn Do's and Don'ts of monitoring based on real-world audit examples.
* Per Attendee
$199
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Understanding Appraisals and Appraisal Review Concepts for Lenders
17
/ Sep
Tuesday-2019

Understanding Appraisals and Appraisal Review Concepts for Lenders

  • Speaker: Heidi Lee
  • Product ID: 705218
  • Duration: 90 Min
This webinar training will break down common terms used in the appraisal industry as well as cover the economics of real estate markets: the impact of the principles of value, the forces of value, and real estate market life cycles.
* Per Attendee
$149
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Red Flags of Money Laundering
17
/ Sep
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
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BSA/AML Compliance Checklists
18
/ Sep
Wednesday-2019

BSA/AML Compliance Checklists

  • Speaker: Gina Lowdermilk
  • Product ID: 703178
  • Duration: 60 Min
This training on the Bank Secrecy Act will highlight the development and implementation of BSA/AML Compliance Checklists. Attendees will learn the best practices to avoid BSA violations.
* Per Attendee
$199
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Writing an Effective SAR Narrative
19
/ Sep
Thursday-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
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Purchasing Cards: Overcoming Risks and Creating an Effective Program
20
/ Sep
Friday-2019

Purchasing Cards: Overcoming Risks and Creating an Effective Program

  • Speaker: Brian G Rosenberg
  • Product ID: 704467
  • Duration: 60 Min
This training program will detail the components of a successful purchasing card program. It will also discuss implementing proper purchasing card controls, types of risk including fraud and misuse, auditing techniques, and more.
* Per Attendee
$199
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Identity Issues in Banking - 26 Red Flags and More
25
/ Sep
Wednesday-2019

Identity Issues in Banking - 26 Red Flags and More

  • Speaker: Jim George
  • Product ID: 704664
  • Duration: 60 Min
This webinar training helps attendees understand the 26 Red flags released by federal regulators in regards to identity fraud. The instructor will discuss how to create and implement the fraud control program and Identity solutions to combat ID theft and reduce future losses. Participants will also learn strategies on fraud prevention, detection and investigation.
* Per Attendee
$199
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Bank Secrecy Act Reporting Expectations - CTRs and SARs
26
/ Sep
Thursday-2019

Bank Secrecy Act Reporting Expectations - CTRs and SARs

  • Speaker: John F Reynolds
  • Product ID: 705443
  • Duration: 60 Min
This webinar will focus on the BSA reports and regulatory expectations including the requirements to file CTRs and SARs. Attendees will learn best practices to ensure AML compliance.
* Per Attendee
$149
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Recorded/CD
Red Flags and EDD for Non-Bank Financial Institutions

Red Flags and EDD for Non-Bank Financial Institutions

  • Speaker: Vicki Landon
  • Product ID: 703536
  • Duration: 60 Min
This webinar will address the red flags that may indicate money laundering and fraud in non-bank financial institutions. It will also provide guidelines for conducting enhanced due diligence (EDD).
CD/Recorded
$249
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Recorded/CD
Anti-Fraud Controls in Payroll: Prevent Before It's Too Late

Anti-Fraud Controls in Payroll: Prevent Before It's Too Late

  • Speaker: Peter Goldmann
  • Product ID: 705257
  • Duration: 90 Min
This 90-minute webinar will help attendees discover the various types of payroll scams, how to recognize key signs of fraud, and ways to prevent and eliminate payroll fraud. It will further offer best practices to use in payroll audits to defend against fraud and negligence.
CD/Recorded
$249
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Recorded/CD
Excel - Creating High Impact Business Reports

Excel - Creating High Impact Business Reports

  • Speaker: Mike Thomas
  • Product ID: 705459
  • Duration: 90 Min
In this webinar, you'll learn not only how to turn raw data into meaningful information but also how to present that data in a visually attractive way. This training will provide you with a solid foundation that you can use to build your own business reports.
CD/Recorded
$199
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Recorded/CD
AML Model Validation: A Critical Need in the New Regulatory Environment

AML Model Validation: A Critical Need in the New Regulatory Environment

  • Speaker: Dr. Frank Masi
  • Product ID: 704227
  • Duration: 60 Min
This training program will discuss the history and origin of a model validation. It will also discuss the requirements by the OCC for a model validation, and what exactly a model validation should include. The session will also analyze the elements of a model validation to know what to look for in an RFP, and detail the requirements included in Final Rule 504.
CD/Recorded
$249
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Recorded/CD
Sarbanes-Oxley Act Section 404: How to Establish an Effective Internal Controls System

Sarbanes-Oxley Act Section 404: How to Establish an Effective Internal Controls System

  • Speaker: David Sanders
  • Product ID: 704395
  • Duration: 90 Min
This webinar will enhance your knowledge of SOX Section 404 (Sarbanes-Oxley Act Section 404) by helping you understand the elements of an internal controls system. Internal controls are a key part of any organization's continued growth, performance and success. With fraud at an all-time high, a well-designed internal control structure will enhance operations by improving your department's overall security and effectiveness. SOX Section 404 mandates that all publicly-traded companies must establish internal controls and procedures for financial reporting and must document, test and maintain those controls and procedures to ensure their effectiveness.
CD/Recorded
$249
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