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

This training program will discuss the current lay of the land with CFPB expectations on complaint management systems. It will instruct attendees on how to establish a complaint management system or enhance current practices. The course will also teach front line managers how to recognize and track a complaint and demonstrate how to categorize complaints into meaningful data for further analysis. Finally, it will discuss methods to remediate issues and reduce overall number of complaints.

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.

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.

Corporations are facing more risks in the expanded environment of business. This webinar will provide auditors and audit management with advanced approaches to risk management and internal risk assessment at a corporate level.

Learn how to comply Sarbanes Oxley compliance in a cost-efficient manner. Many have questioned whether the Sarbanes-Oxley law requirements can be met in a cost-efficient manner. Absorbing the first-year lessons — and, going forward, is a challenge facing all public companies as they prepare to meet quarterly and annual reporting requirements. And further challenges will arise as new compliance issues emerge and PCAOB regulations evolve.

The training supports SOX Compliance (particularly Section 30 as it pertains to anonymous hotlines), and conforms to key criteria of the revised US Federal Sentencing Guidelines. Know how to promptly and effectively REPORT incidents of fraud or suspicious conduct.

Effective internal controls keep track of inventory and ensure that its proper value is reflected on the financial statements This presentation will provide you with the tools you need to establish and maintain strong internal controls for Inventory that meet Sarbanes-Oxley standards

This healthcare webinar will give an introduction to lean in healthcare which includes an illustrative exercise to aid participants in understanding the basic underlying concept of lean.

In this Financial services training will examine the provisions of the PATRIOT Act that affect international financial institutions, along with recent regulations implementing those provisions.

In this SOX compliance training emphasis will be placed on key controls and company level controls that significantly influence the control structure in smaller organizations.

This training will cover the best practices for implementing and auditing a Business Continuity Plan. The speaker will discuss the lifecycle of a BCP program with specific emphasis on Risk Assessment and Business Impact Analysis, Designing a living BCP & Testing & Maintenance. The program will also detail the various standards from FFIEC to ISO. Participants will understand what’s involved in a full BCP program and have insights based upon field experience that can be applied to Internal Audit work and BCP. The session will provide you with tools that you can bring back to your company to improve upon BCP programs & ability to audit them to provide targeted recommendations.

This training program will provide an overview on how to create a business continuity audit plan that is effective and in line with the company's objectives. It will help attendees understand regulations, standards and requirements pertinent to business continuity audits as well. The webinar will define the risks or threats to the success of an audit plan and train attendees on how to test the controls in place to determine whether or not those risks are acceptable.

This webinar highlights the importance of an effective ERM program in project management and risk assessment. Attendees will learn how to implement a viable ERM program including documenting and testing it.