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Home › Online Training ›  Finance, Sox & Internal control

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.
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Recorded/CD
Record Retention and Destruction Compliance

Record Retention and Destruction Compliance

  • Speaker: David Sanders
  • Product ID: 704445
  • Duration: 90 Min
This training program will offer attendees an understanding of record schedule defensibility and best practices to take steps toward improvements. The IRS states entities need to be fully informed of the code relating to Record Retention and Destruction to determine what records are necessary to stay in compliance or face fines. According to IRS and state statistics of the entities audited over the past three years, 82% could not supply adequate records to pass an audit - resulting in substantial fines for non-compliance.
CD/Recorded
$249
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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
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Recorded/CD
AML Investigations and SAR Preparation

AML Investigations and SAR Preparation

  • Speaker: Armen Khachadourian
  • Product ID: 704406
  • Duration: 90 Min
This training program will provide guidance in recognizing, investigating and reporting suspicious activities. It will also discuss instructions on implementing and maintaining an enterprise wide compliance program to safeguard the financial system from illicit use and combat money laundering and promote national security through the collection, analysis, and dissemination of financial intelligence to the regulatory authorities.
CD/Recorded
$249
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Recorded/CD
BSA/AML - What is Old is New Again?

BSA/AML - What is Old is New Again?

  • Speaker: Armen Khachadourian
  • Product ID: 703352
  • Duration: 90 Min
This webinar will provide attendees a clear understanding of the compliance department of the future. Attendees will learn the best practices to ensure BSA and AML compliance and avoid failure and fines.
CD/Recorded
$249
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Recorded/CD
Procure to Pay (P2P) Fraud: Critical Controls, Risk Mitigation and Case Studies for Analyzing What Went Wrong

Procure to Pay (P2P) Fraud: Critical Controls, Risk Mitigation and Case Studies for Analyzing What Went Wrong

  • Speaker: Chris Doxey
  • Product ID: 703859
  • Duration: 60 Min
This unique and interactive workshop will analyze real time case studies from all components of the procure to pay (P2P) process that include: procurement, T&E, P-Card, AP, and disbursements. Attendees will have an opportunity to discuss what went wrong and will determine the key internal controls that were missing. The instructor will highlight the three critical corporate controls, the standards of internal control for P2P, and the top twenty controls for AP.
CD/Recorded
$249
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Recorded/CD
ACH 101 for Originators

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.
CD/Recorded
$199
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Recorded/CD
The Alarming State of Wire Transfer Fraud

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.
CD/Recorded
$199
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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
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Recorded/CD
Panama Papers and PEP Screening - KYC and Sanctions Filtering

Panama Papers and PEP Screening - KYC and Sanctions Filtering

  • Speaker: Armen Khachadourian
  • Product ID: 704630
  • Duration: 90 Min
This training program will explore the operational implications of dealing with heightened-risk categories such as PEP screening at the heels of the Panama Papers controversy. The program will also discuss the current changes in the marketplace and expose the new faces of AML and examine areas of PEP regulation that pose present and future challenges for regulated businesses.
CD/Recorded
$249
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Recorded/CD
Handling Consumer ACH Disputes: Advanced ACH Sticky Situations

Handling Consumer ACH Disputes: Advanced ACH Sticky Situations

  • Speaker: Rayleen M Pirnie
  • Product ID: 705100
  • Duration: 90 Min
This ACH training program will review common consumer issues and situations while handling ACH disputes. It will guide participants in deciding the appropriate course of action in given situations. Participants will also learn what to do when a customer/member won’t complete a WSUD.
CD/Recorded
$179
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Recorded/CD
Cyber Incident Response Plans: Planning for the Inevitable

Cyber Incident Response Plans: Planning for the Inevitable

  • Speaker: Rayleen M Pirnie
  • Product ID: 704414
  • Duration: 90 Min
This webinar training analyzes critical components of a Cyber Incident Response Plan and provides recommendations on how to prepare all staff for the inevitable situations. From internal considerations to your external solution providers, get a realistic view of how a cyber-attack can quickly spiral a typical day into complete chaos and cause significant losses without preparation. Attendees will receive a Cyber Incident Response Plan checklist to help their Incident Response Team analyze or develop a Plan.
CD/Recorded
$199
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Recorded/CD
Bank Secrecy Act (BSA), Title 31, Compliance

Bank Secrecy Act (BSA), Title 31, Compliance

  • Speaker: Armen Khachadourian
  • Product ID: 703574
  • Duration: 60 Min
This webinar will review current requirements of the Bank Secrecy Act, why to comply, how to comply, reporting techniques and current positions by the IRS and FinCEN.
CD/Recorded
$249
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Recorded/CD
Reimbursing Employees for Expenses: Navigating Taxes

Reimbursing Employees for Expenses: Navigating Taxes

  • Speaker: Patrick A Haggerty
  • Product ID: 704194
  • Duration: 90 Min
This training program will engage attendees in a discussion on whether an expense reimbursement qualifies for exclusion from employee wages. It will offer stringent guidelines on what is required to substantiate various expenses and benefits under an accountable plan.
CD/Recorded
$179
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Recorded/CD
Developing an Operational Risk Appetite Statement

Developing an Operational Risk Appetite Statement

  • Speaker: Mario Mosse
  • Product ID: 703661
  • Duration: 90 Min
This webinar will discuss the challenges and opportunities involved in developing and implementing an operational risk appetite statement, which is supported by operational risk limits, and the determination of actual exposure against those limits.
CD/Recorded
$229
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Recorded/CD
Mastering AP Internal Controls: How to Reduce Risk and Prevent Fraud

Mastering AP Internal Controls: How to Reduce Risk and Prevent Fraud

  • Speaker: Patrick A Haggerty
  • Product ID: 704419
  • Duration: 90 Min
This webinar training will explain the process of internal controls in account payable operation as per COSO framework, why it is required and how to effectively implement it across organisation. Participants will learn how to master internal AP controls : preventive and corrective, to mitigate risk, ensure information system security and prevent fraud.
CD/Recorded
$249
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Recorded/CD
Forecasting with Excel's Powerful Sensitivity Tools - Scroll Bars, Goal Seek, Data Tables, Solver and Scenario Manager

Forecasting with Excel's Powerful Sensitivity Tools - Scroll Bars, Goal Seek, Data Tables, Solver and Scenario Manager

  • Speaker: Miles Hutchinson
  • Product ID: 703156
  • Duration: 90 Min
In this financial forecasting webinar learn how to use Excel’s powerful sensitivity tools and design efficient forecasting models. Application of scroll bars, goal seek, data tables, solver and scenario manager. Also received bonus material containing the demo model, complete with instructions for each of these tools!
CD/Recorded
$249
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Recorded/CD
Writing Effective Audit Observations

Writing Effective Audit Observations

  • Speaker: Jonnie T Keith
  • Product ID: 703740
  • Duration: 90 Min
This webinar will provide the principles for writing an effective audit report. The audit report represents the end result of weeks of reviews, analyses, interviews and discussions. It is used to provide information to management on the areas you reviewed. And, more importantly, the report brings issues to their attention that needs to be addressed. How well you communicate that information is critical to getting the results you are seeking.
CD/Recorded
$249
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Recorded/CD
Conducting Internal Investigations: Insights from Former SEC Inspector General

Conducting Internal Investigations: Insights from Former SEC Inspector General

  • Speaker: H. David Kotz
  • Product ID: 703339
  • Duration: 90 Min
This training will provide the attendees simple but powerful tools and tips to conduct credible and thorough internal investigations. Attendees will learn how to perform effective witness interviews.
CD/Recorded
$249
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Recorded/CD
Vendor Fraud - How to Prevent Them for Large scale Companies

Vendor Fraud - How to Prevent Them for Large scale Companies

  • Speaker: Peter Goldmann
  • Product ID: 703157
  • Duration: 90 Min
This training on detecting and preventing vendor fraud will help the attendees to identify the different types of vendor-related fraud schemes and implement best practice anti-fraud control strategies.
CD/Recorded
$129
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Recorded/CD
Developing and Managing Effective AML/CTF Assurance Programs

Developing and Managing Effective AML/CTF Assurance Programs

  • Speaker: David Harley
  • Product ID: 705406
  • Duration: 60 Min
Learn the intricacies of developing an effective AML/CTF compliance assurance program and implementing it. Learn how to track the performance of each element of the program and remediate in case of risks.
CD/Recorded
$179
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