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

This training program will present in-depth coverage of specific formulas and functions, as well as provide attendees with the perspective they need to understand the scope and depth of these critical Excel features. All examples will be presented within the context of Excel worksheets.

This two-part five-hour certificate program focuses on internal controls leading practices and standards for the Procure to Pay (P2P) process. Attendees will learn about internal controls best practices by focusing on the Internal Controls Questionnaires (ICQ) for each component of the P2P process. Participants in this program will obtain a certificate in Procure to Pay (P2P) Standards of Internal Controls from the American Purchasing Society (APS).

This training program will discuss the difference between analytics and metrics, how analytics can be used to significantly help the business, case studies to demonstrate real life projects, how to develop an analytics model, and more.

This training program will help attendees understand the deficiencies with the traditional annual budget. Attendees will also learn how to apply unit-level consumption rates with forecasts to project operational expenses and how to include strategic projects and risk mitigation projects in expense projections.

This training program will help attendees discover the importance of segmenting accounts based on size and payment behavior and then using the right collection technique with the right customers. The course will also offer an understanding of the best practices that should be deployed around each of these collection techniques.

This webinar will discuss the Regulation V – Fair Credit Reporting Act(FCRA) in details and explain attendees what types of marketing are allowed, requirements of affiliate marketing, and disclosures required with regard to consumer credit report. Speaker will discuss about consumer credit report alerts and identity theft protections, as well as what an institution must do with these alerts.

This training program will highlight why a vendor questionnaire is the keystone your vendor management program is built on. The course will help ensure attendees get the whole picture and determine appropriate controls for information security and privacy.

Below Training CDs are top identified trainings on financial frauds, most important rules and regulations and how to stay compliant. Along with techniques to identify and how to deal with various frauds like Accounts Payable and Employee Reimbursement Fraud, you will also learn all about Standby Letters of Credit, OFAC, Anti Boycott and US PATRIOT Act.

This webinar highlights the evolution of Enterprise Risk Management (ERM), the importance of ERM in meeting board fiduciary responsibilities, and the rationale and mechanisms for ensuring effective risk management through the board.

This 90-minute webinar will highlight actual examples of travel fraud that happen in organizations and focus on internal controls that you can have in place to prevent fraud related to travel and subsistence claims.

This webinar will review the CDD Rule and the new requirements issued by FINCEN, along with sharing information and procedures for the beneficial ownership rule.

We need to be aware of the Sanctions imposed for others when we conduct our business in financial institutions. Sanctions are penalties or other means of enforcement used to provide incentives for obedience with the law, or with rules and regulations.

Senior Management, Risk Managers and IT Security Officers need to understand the Digital Operational Resilience Act (DORA) to ensure compliance in their organizations. In this Webinar, we will focus on RISK Management as it’s the most important element in DORA to achieve compliance.

ISO 31000 is a standard developed by the International Organization for Standardization (ISO) which provides a basic guideline and principles for the application of risk management. Companies that use risk management processes vary across industries in scope and magnitude and address a wide variety of challenges. This training program will offer an in depth look into the key components of the ISO 31000 guideline and best practices to implement and support a corporate risk management strategy or program.

"Essentials of Successful Fraud Risk Management" is a session all about fraud. We begin by defining exactly what fraud looks like and provide a brief history of frauds impact to financial services.

This NACHA Operating Rules training session will provide the details on the proposed changes that potentially may be happening in the future. How it is going to impact you and what can you do about it.

Third Party Risk Management is all about managing service providers. For several years, businesses have been increasing reliance on third parties. While this reliance has many upsides, there are risks that should be recognized and managed. This session highlights those risks and provides alternatives to best manage them.

As Compliance Officers, we need to be prepared and be able to communicate with those who will be impacted by the upcoming changes. There are several changes coming our way in 2025.

There are so many ways to send money – FASTER! Payments such as, Same Day ACH (SDA), Real Time Payments (RTP), Push-to-Debit, Wire Transfers, and the pending arrival of FedNow. This 60-minute session will identify the different types and help you recognize the benefits and draw-backs of each one and the basics of how they work (with some examples).

An ethics and compliance risk assessment is the foundation of an effective ethics and compliance risk management program. This detailed course provides a 12-stage framework that will help you complete your own ethics and compliance risk assessment. The 12 stages are divided into two components, the Planning Phase and the Implementation Phase. With a completed ethics and compliance risk assessment and armed with your findings and action plan, you will be equipped to develop and implement an effective ethics and compliance risk management program.