ComplianceOnline

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

1099 & W-9 Update - Complying with IRS Information Reporting Guidelines
14
/ Dec
Friday-2018

1099 & W-9 Update - Complying with IRS Information Reporting Guidelines

  • Speaker: Miles Hutchinson
  • Product ID: 703220
  • Duration: 90 Min
This IRS regulatory compliance training will focus on the rules requiring W-9 documentation and 1099 reporting. Attendees will learn the best practices to ensure compliance with IRS and avoid B-Notices.
* Per Attendee
$199
GAAP: Accounting for Inventory
18
/ Dec
Tuesday-2018

GAAP: Accounting for Inventory

  • Speaker: Candace Leuck
  • Product ID: 705203
  • Duration: 90 Min
For manufacturers and retailers inventory is one of the most valuable assets on the balance sheet. The cost of inventory is one of the largest expenses on the income statement. Practitioners and members in industry will benefit from this training program’s comprehensive guidance on inventory accounting issues.
* Per Attendee
$199
Internal Controls - What Every Manager Needs to Know
19
/ Dec
Wednesday-2018

Internal Controls - What Every Manager Needs to Know

  • Speaker: Lynn Fountain
  • Product ID: 703148
  • Duration: 90 Min
This webinar highlights the importance of management’s role in instilling proper internal controls within their processes. In this session, instructor will explore methods to educate management on their individual responsibilities for control processes and the variance between a control malfunction and control design issues. Participants will be provided with tools to help management better understand their role in internal control and effectively execute their obligations. The session will also review the impending COSO changes and examine how they may impact your organization.
* Per Attendee
$199
Key Ratio Analysis - Calculating and Interpreting the Numbers Correctly
20
/ Dec
Thursday-2018

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.
* Per Attendee
$199
Monitoring High Risk Transactions
8
/ Jan
Tuesday-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
$149
Bank Secrecy Act (BSA) Audit Best Practices
9
/ Jan
Wednesday-2019

Bank Secrecy Act (BSA) Audit Best Practices

  • Speaker: Gina Lowdermilk
  • Product ID: 702829
  • Duration: 60 Min
This BSA audit training will explain how the best practices in a BSA audit have evolved over the years. It will cover the major components of an effective BSA program that the audit focuses on and the specifics of each area as it pertains to BSA audits.
* Per Attendee
$199
BSA/AML Contextual Awareness of High Risk Customers
10
/ Jan
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
EBIT/EBITDA - Understanding Your Profit and Loss Statement
10
/ Jan
Thursday-2019

EBIT/EBITDA - Understanding Your Profit and Loss Statement

  • Speaker: Candace Leuck
  • Product ID: 704091
  • Duration: 90 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
How to Conduct High Quality Risk Assessments
11
/ Jan
Friday-2019

How to Conduct High Quality Risk Assessments

  • Speaker: Mario Mosse
  • Product ID: 704994
  • Duration: 90 Min
This training program will help articulate your business objectives and define the scope of your risk assessment. It will guide attendees in identifying the most appropriate risk assessment technique and plan and facilitate a risk assessment. Further, the session will help tailor a risk matrix to enable you to rate your risks.
* Per Attendee
$199
Red Flags and EDD for Non-Bank Financial Institutions
14
/ Jan
Monday-2019

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).
* Per Attendee
$199
TIN Matching and B Notices - How to Minimize the Paperwork from Complaints on IRS Information Returns
15
/ Jan
Tuesday-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
Developing an Effective Fraud Risk Management Program
15
/ Jan
Tuesday-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
How to Establish an Effective IT Governance, Risk and Compliance (GRC) Framework - Organization and Responsibilities
16
/ Jan
Wednesday-2019

How to Establish an Effective IT Governance, Risk and Compliance (GRC) Framework - Organization and Responsibilities

  • Speaker: Michael C Redmond
  • Product ID: 704991
  • Duration: 60 Min
This training program will discuss how to develop a great GRC program that ensures proper governance, risk management and compliance management of all IT systems and processes that support the business operations.
* Per Attendee
$199
AML Model Validation: A Critical Need in the New Regulatory Environment
16
/ Jan
Wednesday-2019

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.
* Per Attendee
$199
How to Prepare an Effective Audit Manual for an Internal Audit Department
16
/ Jan
Wednesday-2019

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

  • Speaker: Marna Steuart
  • Product ID: 703684
  • Duration: 90 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
Recorded/CD
Non Resident Alien Payee  (1042-S, W-8) -  How to Handle the Information Reporting and Backup Withholding Requirements of the IRS

Non Resident Alien Payee (1042-S, W-8) - How to Handle the Information Reporting and Backup Withholding Requirements of the IRS

  • Speaker: Miles Hutchinson
  • Product ID: 703855
  • Duration: 100 Min
Collecting the tax due from NRAs (nonresident aliens) working in the U.S. is a Tier 1 audit issue. This tax burden is minimized when companies making payments to NRAs for dependent and independent personal services properly withhold on these payments. This training program will review the five forms W-8 including the new W-8BEN-E just released in Q1-2014. It will help attendees establish which W-8 to provide NRAs working for them.
CD/Recorded
$249
Recorded/CD
Detecting and Preventing Embezzlement in Your Organization

Detecting and Preventing Embezzlement in Your Organization

  • Speaker: Peter Goldmann
  • Product ID: 703763
  • Duration: 90 Min
While there are innumerable ways to detect, prevent and investigate embezzlement, it is not always easy to organize a consistently effective anti-embezzlement strategy. This webinar will guide you through the common and not-so-common forms of embezzlement—with uniquely instructional case studies. It will emphasize the red flags of each and go on to highlight best practices in embezzlement risk mitigation.
CD/Recorded
$249
Recorded/CD
CRA Sunshine Act and Bank Reporting: Disclosure and Reporting of Community Reinvestment Act-Related Agreements

CRA Sunshine Act and Bank Reporting: Disclosure and Reporting of Community Reinvestment Act-Related Agreements

  • Speaker: Thomas Nollner
  • Product ID: 705363
  • Duration: 60 Min
This webinar 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.
CD/Recorded
$179
Recorded/CD
Using Controls and Segregation of Duties to Build a Bullet Proof AP Operation

Using Controls and Segregation of Duties to Build a Bullet Proof AP Operation

  • Speaker: Brian G Rosenberg
  • Product ID: 704051
  • Duration: 60 Min
This training program will detail how to create a bullet-proof AP operation that is setup to detect and proactively prevent fraud from occurring. During this session, the webinar presenter will discuss real cases of AP fraud and the controls that organizations later realized needed to be added to their AP operation, unfortunately too late to prevent these costly incidents. In addition to discussing good controls, he will also discuss common controls that are ineffective, provide no value, or even leave AP departments with a false sense of security while they are in reality still very much exposed.
CD/Recorded
$179
Recorded/CD
Excel Dashboard for the Financial Professional - Great for Anyone Interested in Excel Dashboard Techniques

Excel Dashboard for the Financial Professional - Great for Anyone Interested in Excel Dashboard Techniques

  • Speaker: Joe Weil
  • Product ID: 705156
  • Duration: 90 Min
The hallmark of an interactive, data-driven dashboard is the ability to see and understand data at the speed of thought. This training webinar will deliver the skills needed to design well-planned Excel dashboards that present answers to questions in real-time, render visually striking displays, turn insight into action, help accomplish your firm’s objectives and improve your Excel skills. Attendees will be able to define key performance indicators and build a dashboard in Excel to monitor them.
CD/Recorded
$199
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