Banking, Financial Services Regulatory Compliance Training - Live Webinars, Recordings & CDs

This webinar discusses 10 areas of wage and hour and tax law that when misunderstood or applied incorrectly causes employees to be paid or taxed incorrectly with the resulting penalties, fines and interest levied on the employer. Some of these wage and hour law misconceptions can even cause the employer to overpay employees forcing unnecessarily higher labor costs.

This webinar will provide an introduction to UCC4A and how it affects payment transactions. It will also provide an understanding of responsibilities of each party before entering into contract for fund transfer services.

This training program will aid those who use Excel at a basic level and help them learn to create formulas and use some of its built-in functions effectively. The training will be delivered using Excel 2016 for Windows however much of the functionality is also available to users of earlier versions of Excel on both Windows and Mac.

This webinar on detecting and preventing Accounts Payable (AP) fraud will discuss various ways in which AP fraud can be committed, the telltale signs of AP fraud, and the various options for responding to possible AP fraud once it is recognized.

Interviewing is a craft that involves applying proven and practiced steps along with skilled communication. This training program will discuss the art of human interaction to help achieve successful interview results. It will help participants in gaining the trust of the interviewee and in encouraging truthful responses.

This webinar will untangle the complexities of UCC4A and how it applies to ACH payments. It will discuss legal and compliance risks presented by UCC4A and provisions impacting potential liability.

This Excel training program will elucidate Excel functions that allow you to quickly create accounting reports. Attendees will learn how to create dynamic reports for any month of the year on one worksheet. They will also receive helpful handouts to help execute their learning.

Through this training program, attendees will understand what the changes are to initial disclosures relative to TILA and RESPA. They will also develop an understanding of changes to variance thresholds, the need to understand affiliate relationships, and the importance of knowing your fees.

This training program will help identity frauds that lead to tax refund fraud and discuss funds availability exceptions. It will also discuss common non-post issues, the IRS Opt-In Program and eLeads, refund handling procedures, remedial actions, and suspicious activity reports.

Gain a better understanding of cyber security incident management that is proactive versus reactive, learn methods to minimize business disruption and damages, and the impact and urgency on customers and the business for risk and costs.

This training program will review the basics of commercial real estate including types of properties and demand/supply in the current market. Attendees will learn the steps of marketing, approving, documenting, closing, and monitoring a commercial real estate loan.

The Bank Secrecy Act (BSA) imposes a robust set of requirements on various industries to include banking organizations, mortgage lenders, gambling institutions, insurance agencies, and more. The main goal of the BSA is to help the government detect and prevent money laundering as well as terrorist financing. From this main goal, the rule requires reporting of various transaction types both individually and in the aggregate and reporting of suspicious activities. This webinar will help understand the fundamental requirements of the BSA/AML statutes and the annual AML training requirements.

Many financial scandals and significant operational losses can be traced back to poorly designed or improperly implemented products. Other problems arise from faulty legal and operational processes that lead to improper documentation and other issues. This training program will address risks and corresponding mitigating strategies involved in the new product development process. It will also discuss risk assessment protocol and product monitoring.

This webinar will explain tools and tips for conducting internal investigations. Attendees will learn how to conduct effective witness interviews, how to draft comprehensive investigative reports and how to report evidence of fraud to law-enforcement authorities.

This is the third training session in the 3-part series on Exception Processing. It’s not just about return entries – exceptions are anything that is out of the ordinary ACH processing day-to-day (such as Direct Deposits and Direct Payments via ACH). Reinitiation of Entries and the Reversal process are anything but ordinary; they require knowing what the specifics are and ensuring a financial institution is in compliance with the NACHA Operating Rules.

This training program will help attendees understand how policies created to help keep costs low and net earnings up could create a disparate impact situation in your organization. Attendees will also learn the nuances with notification requirements especially related to incomplete applications.

Both clients and tax advisors should be aware of the IRS audit process. This webinar will introduce advisors and clients to factors the IRS considers in selecting an individual for audit, how the IRS obtains information during the audit, and provides you the tools needed to represent the client through IRS appeals.

This webinar will highlight BSA/AML/OFAC risk assessments and evaluation compliance program. It will discuss BSA definitions, OFAC rules, Currency Transaction Reporting (CTR), Suspicious Activity Reporting (SAR) including additional requirements, such as 314(a), PEPs, and Pouch activities and much more.

This training program will review intent and focus of Regulation E and the ACH Rules. It will analyze situations where Regulation E and the ACH Rules do not align and help determine appropriate responses and procedures to manage risk and loss.

Learn how effective AML analytics, algorithms, machine learning and data science can strengthen your compliance program. This session will also discuss using analytics to help BSA/AML investigations, how you can use the CDD data gathered along with analytics, model validation and BSA/AML.