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

This webinar will discuss ways to effectively and efficiently deal with regulators, whether it be from an audit or other interaction. Regulators speak their own language and understanding this is imperative to building relationships and passing regulatory scrutiny.

Today’s Internal Audit groups are expected to do more than just assurance work. They are required to provide management with industry best practices, trends in risk management and perform advisory reviews of emerging and topical areas. This webinar introduces a new tool that helps internal audit groups move from the traditional role of assurance provider to the more valuable trusted advisor.

This training program will guide attendees on what it takes to become a successful controller. The program will help identify the primary functions and responsibilities of the controller and how your role will change as you move into this position.

This training program will discuss how to correct Form 941 when an error has been discovered after it has been filed. It will examine when to use Form W-2c to correct the employee’s year-end information after the Form W-2 has been given to the employee as well as before and after the form has been filed with the Social Security Administration. The course will also review how to file an amended return for Form 940.

This webinar on procurement cards fraud prevention will help you identify the ‘red flags' of P-Card fraud and will provide a practical internal controls toolkit that will help reduce the potential for fraud and mitigate risk within the process.

In this webinar attendees will learn the latest updates for Form 1099-MISC, specific reporting requirements for various types of payments and payees, filing requirements, withholding requirements and reporting guidelines. It will cover filing due dates including the accelerated due dates for 1099-MISC Forms with an entry in box 7, and the safe harbor requirements for de minimis dollar amount errors. It will cover penalty provisions due diligence procedures, and exceptions to penalties including reasonable cause, common errors, and correction of errors.

In this webinar participants will learn how to comply with regulations related to due diligence of business customers and the best practices for taking a risk-based approach to Know Your Customer (KYC) and Know Your Customer's Customers (KYCC).

Fraudsters are always looking for new opportunities and new weaknesses. The availability of customer data on the black-market gives them just the tools they need. A bank has responsibilities to its shareholders and customers to protect them from these ever-changing threats.

This webinar will furnish attendees with a complete understanding of the changes in the fraud arena and the strategies needed to combat fraud.

Brick and mortar bank offices are quickly becoming a thing of the past. More and more banking transactions occur on hand held devices. Mobile banking is the way people do bank today. This webinar introduces you to what mobile banking is all about, what risks are associated with mobile banking and how to best audit mobile banking at your institution.

This training program will discuss the rules and regulations that must be followed when paying an employee for travel pay. The course will elaborate what is travel pay, best practices for handling the payments, how it affects overtime calculations and what is required on the state level. It will also discuss the requirements for taxing travel expenses under IRS rules.

This training program will facilitate participants’ understanding of fraud risks, detecting fraud indicators, gathering evidence to substantiate suspicions of actual wrongdoing and eliminating control weaknesses in all pertinent business functions.

This case study based webinar focuses on how a company was stuck at a certain level of production. Then, as a group of auditors analyzed available data certain process and management gaps began to surface. Once recognized and addressed the business made a significant turn around and became profitable again. The use of data analytics is key to success for any organization.

In this tax compliance webinar attendees will learn the different ways your company triggers nexus on itself and what it must do to comply with the state regulations.

This webinar will explain concept of ACH, how it works, rationale for choosing it and how it differs from US domestic ACH. It will also discuss what International Payments Framework Association (IPFA) is and how does it address International ACH issues. Instructor will cover the relevance of Customer benefits and value proposition regarding ACH and why it should be preferred over wire transfers.

This webinar will review the IRS Form 941 and its accompanying Form Schedule B for 2019. It will discuss what is new for the form in 2019 and will detail the requirements for completing each form. The webinar instructor will specify filing requirements and offer tips on reconciling and balancing the two forms. The webinar also covers the forms used to amend or correct the returns.

This training program will focus on the most important elements of the appraisal regulations that foster safety and improves financial institutions’ regulatory compliance. It will also discuss best practices for integration of the Interagency Appraisal and Evaluation Guidelines into an institution’s appraisal policy and practices, and outline the importance of a risk-based decision process within the appraisal function that is uninfluenced by other departments.

In this fast-paced and informative training program, attendees will learn exactly what violates the Fair Debt Collection Practices Act (FDCPA) and other laws that lead to costly fines and judgments. The program will also overview consumer vs. commercial bankruptcy and the differences between Chapter 7, 11 and 13.

This training program will explore how the initiatives that have the most value and result in true continuous improvement efforts are often the ones that are developed by a specific operational area such as accounts payable. If a metrics program is developed by the business owner of an operation, the results will be well defined and will represent the process components very well and will help to drive results. With a real time dashboard, actions can be immediately taken based on the results.

This webinar will provide you with a comprehensive look at the rules, best practices, and guidance available in the area of data risk management governance. More importantly, you will be instructed about the various principles required for good data risk management and be provided with a tool to implement sound practices.

This bank secrecy act training details how to train your frontline staff and teach them how to monitor for suspicious activity.