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

In this financial modeling course, learn how to put the powerful sensitivity tools of Microsoft Excel to work. Learn how to unlock the power of scroll bars and spinners, goal seek, one and two-input data tables and scenario manager in your models. See samples of tools, demonstrations with complete instructions for creating and using each of these tools. Learn the top 20 best practices of solid model design, development and delivery.

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.

Tax levies and creditor garnishments can be some of the most complex tasks required of any payroll department. If garnishments are not handled precisely, you may have to face heavy fines for non-compliance. Courts, federal and state regulations, bureaucracies, lawyers and a multitude of other factors can complicate even the most basic procedures.

This training program will review the three keys to success for any bank: marketing, financing, and management. The webinar will also include how to correctly interpret the bank’s financial statements including analyzing key numbers and ratios. Additionally, attendees will be exposed to how a bank’s overall success is measured including the CAMELS rating, Baurer Financial Rating, and Texas Ratio. Furthermore, various bank HR issues and the risk of cyber security threats will be outlined.

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.

Revenue Recognition Rules are changing! Over the next three years companies will undergo a major change in recording revenue. This training program will help you to gain an understanding of the elements of New Revenue Recognition Rules, so you can prepare for this change by developing a program management team, updating business processes and internal controls, learning dependencies on data, and developing your revenue automation updates and IT involvement for the new standard.

This P2P fraud control webinar will discuss how to prevent procure-to-pay fraud by understanding the red flags in all three stages of purchasing, receiving and disbursements. It will teach you which tools and techniques to use for P2P fraud detection and How to conduct a Fraud Risk Assessment of the P2P Cycle and build effective control framework.

This BSA/AML training is drawn on case studies of the last 15 years. This class will help drive the BSA officers and analysts to consider the who, what, why, where, when and how in their case studies. Most BSA officers and analysts are always curious as to how someone uncovered the activity. Was it a software alert or was it an employee referral? If a software alert, what are the parameters? If it was an employee referral, why did this suddenly get flagged? Attend this course to uncover the hallmark attributes of these case studies.

Attend this webinar to learn the best practices for supplier management that will facilitate compliance through the supplier management lifecycle and can help you to manage risk. Also attendees will learn the technology solutions focus on solving supplier management problems, supplier master fraud indicators and compliance requirements for supplier master.

Attend this webinar to learn the strategies for conducting an internal audit and discover whether or not you have been subject to fraud plus help you to prevent internal fraud in the future. It will provide best practices for payroll departments to avoid external audits.

This training program will examine the FLSA requirements on recouping overpayments including the 1998 opinion letter that spells out these requirements. It will also focus on issues such as exempt employee status, minimum wage and overtime rules for nonexempt employees must be considered when recovering overpayments from employees. Additionally, it will review the wage and hour laws of several states and the factors that determine if an overpayment can be recouped.

This webinar will help you to build, implement, and maintain strong credit culture. This course offers 14 tools to test and check the strength of the organization’s credit risk management and techniques for remediating and improving credit culture and credit risk management.

Attend this webinar to learn payroll best practices (handling of state taxes, wage and hour law, and garnishments) when an employee lives in one state and works in another, or works in two or more states simultaneously. This Includes determining liability as an employer, reciprocal agreements, resident and nonresident taxation, Form W-4 equivalents, state unemployment insurance, wage and hour law requirements and garnishment withholding.

Attend this webinar to learn about compensating controls with specific examples and what are the segregation of duties controls. You will also learn how to implement compensating controls to reduce risk and prevent fraud in your internal controls programs.

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.

The ability to construct and present a winning argument by those without direct control over business processes or organizations is the key requirement to excel in today’s risk and auditing environment. This webinar will provide participants with tools and strategies that will improve the quality of your argument thereby improving your chances for providing positive, substantial and effective advice.

This webinar will focus on requirements for taxation and reporting of employee fringe benefits including transportation fringe benefits, section 132 fringe benefits, meals, clothing, housing and education fringe benefits, and third party sick pay. It will also provide best practices to comply with IRS taxation and reporting requirements.

This webinar will help attendees understand the consumer protection obligations of banks under Title X of the Dodd-Frank Act, the Fair Housing Act, the Equal Credit Opportunity Act, and other applicable laws; and the role of the Consumer Financial Protection Bureau (CFPB), including recent changes.

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.

In this webinar attendees will learn the fundamental aspects of Form 941 including when to use Form 943, Form 944, or Form 945 instead of Form 941. It also covers the determination of the tax deposit period and the due dates for deposits, a line by line walk through of Form 941, special adjustments required for certain reconciling items such as fractions of cents, uncollected Social Security and Medicare taxes on group term life insurance and tips, and sick pay.