Compliance Training Webinars for Regulated Industries

Regardless of company size or complexity, all successful financial close processes require continuous communication, comprehensive documentation and a flexible, responsive organization. This training program will focus on 10 critical methods that you can use to dramatically improve your Record to Report (R2R) process. The R2R or Financial Closing Process is the centerpiece of the controllership function. This program will examine the process that ranges from transaction processing through internal and external reporting, and it incorporates everything from internal controls, the corporate organizational hierarchy - its people, processes, and technology.

This training program will list and discuss documents required to complete the five steps in the documentation process. On completion of the program, attendees will be able to provide a broad overview of the loan documents’ provisions to borrowers and loan processing management techniques.

This training program will classify common forms of ATM skimming fraud, POS skimmers, and POS malware, and also identify appropriate mitigation strategies. The course will further analyze why EMV will not stop ATM fraud and POS skimming fraud.

This training program will discuss how cyber-attacks affect payment processing. It will highlight to attendees how best to record appropriate sound business practices for managing operational risk due to a cyber-attack. Attendees will also learn to identify critical operational communications, from internal staff to customers and institutions to vendor support.

This training program will discuss the many advantages in obtaining a CIA designation. In addition to the vast audit and business knowledge you are exposed to, it can lead to promotions and pay increases. You become a valuable asset to your organization. And while the test is difficult, it is not impossible. It is meant to make sure that when you carry the CIA designation, people know that you have an excellent grasp of audit and business knowledge.

This training program explains the details of loan portfolio management and factors of macro economic, industry, business and management that must be considered. The instructor discusses the process of examining the quality of credit file documentation, including assessment of the credit memorandum and loan documentation. Participants will also understand the loan grading techniques and the check points that are needed to complete a full loan review.

This webinar will discuss the common AML, SOX and Licensing control failures and how to detect and prevent them. The instructor will discuss the legal impact of non-compliance on banks and financial institutions, red flags and how to strengthen your internal controls to mitigate risk.

This ERM training program will discuss how today’s enterprise risk evaluation and control and impact analysis include identifying enterprise threats, which can truly lead not only to a disruption but also to the destruction of an enterprise.

The purpose of this 90-minute session is to provide participants with a good understanding of the loan documentation process requirements. Among other key learnings, participants will be exposed to the five steps in the loan documentation process. Each of the five steps requires certain documents to accomplish their respective purpose. The participant will develop an understanding of each of these documents and learn when to use them.

This webinar will enhance attendees’ knowledge of corporate responsibility for financial reports, disclosures and certifications relating to SOX Sections 302, 401, 404, 409, 802, 906 (Sarbanes-Oxley Act) by helping you understand the levels of corporate responsibility and certification.

This training program leads to an understanding of the recently effective SSARS 21 which supersedes SSARS 19. It will provide insight for accountants in public practice and accountants in industry who will be engaged in compilation and review services with year ends after December 15, 2015.

This training program on factoring will discuss the fragmented market place, the missing link to receivables management, interesting alternatives, and the new face of factoring.

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 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 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.