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Home › Online Training ›  Finance, Sox & Internal control

Finance, SOX and Internal Controls Regulatory Compliance Training - Live Webinars, Recordings & CDs

Help your staff understand the basic regulatory requirements and also the small details which if overlooked could potentially have a big impact on your business. Ensure that your teams are knowledgeable about how the SOX compliance processes should be aligned with the relevant frameworks. Explore our wide range of training programs for Finance, SOX, and Internal Controls Regulatory Compliance.
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Recorded/CD
Strategies to Pass the Certified Internal Auditor's (CIA) Exam

Strategies to Pass the Certified Internal Auditor's (CIA) Exam

  • Speaker: Jonnie T Keith
  • Product ID: 704487
  • Duration: 90 Min
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.
CD/Recorded
$0
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Recorded/CD
Loan Portfolio Management and Review - Regulations, Process, Loan Grading Techniques, Collateral and Documentation

Loan Portfolio Management and Review - Regulations, Process, Loan Grading Techniques, Collateral and Documentation

  • Speaker: Robert D Hawkins
  • Product ID: 704545
  • Duration: 60 Min
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.
CD/Recorded
$0
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Recorded/CD
AML, SOX and Licensing Controls Failures - Detection, Prevention and Risk Mitigation Strategies

AML, SOX and Licensing Controls Failures - Detection, Prevention and Risk Mitigation Strategies

  • Speaker: Jim George
  • Product ID: 704527
  • Duration: 60 Min
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.
CD/Recorded
$0
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Recorded/CD
Applying ISO 27001 to ERM Risk

Applying ISO 27001 to ERM Risk

  • Speaker: Michael C Redmond
  • Product ID: 704470
  • Duration: 60 Min
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.
CD/Recorded
$0
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Recorded/CD
Understanding Disclosures, Certifications and Corporate Responsibility Relating to SOX - Sections 302, 401, 404, 409, 906

Understanding Disclosures, Certifications and Corporate Responsibility Relating to SOX - Sections 302, 401, 404, 409, 906

  • Speaker: David Sanders
  • Product ID: 704440
  • Duration: 90 Min
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.
CD/Recorded
$179
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Recorded/CD
Risk Management - Best Practices, Roles and Responsibilities, Types and Preventives, Case Studies

Risk Management - Best Practices, Roles and Responsibilities, Types and Preventives, Case Studies

  • Speaker: Robert Geary
  • Product ID: 703689
  • Duration: 90 Min
This webinar will demonstrate a conceptual framework and thought process to address risk management. It will discuss the significance of risk management processes with emphasis on causes of risk and risk preventives. The instructor will explain the best practices, roles and responsibilities, risk types and how to prevent them.
CD/Recorded
$50
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Recorded/CD
Compilation and Review Update - New Formats, SSARS21

Compilation and Review Update - New Formats, SSARS21

  • Speaker: Candace Leuck
  • Product ID: 704490
  • Duration: 90 Min
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.
CD/Recorded
$249
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Recorded/CD
The Practice of Factoring - A Viable Lending Component

The Practice of Factoring - A Viable Lending Component

  • Speaker: Ray Graber
  • Product ID: 704430
  • Duration: 90 Min
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.
CD/Recorded
$199
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Recorded/CD
Complaint Management End to End - Sources, Tracking, Governance and Remediation

Complaint Management End to End - Sources, Tracking, Governance and Remediation

  • Speaker: Amy Bracht
  • Product ID: 704466
  • Duration: 90 Min
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.
CD/Recorded
$249
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Recorded/CD
Tax Provision Compliance for Affordable Care Act for Employers : ACA, 1095-C, 1094-C, W9 & 941

Tax Provision Compliance for Affordable Care Act for Employers : ACA, 1095-C, 1094-C, W9 & 941

  • Speaker: JeFreda Brown
  • Product ID: 703986
  • Duration: 90 Min
This training program will detail important requirements of the Affordable Care Act tax provisions. Attendees will learn how to stay compliant with the ACA tax provisions and avoid penalties.
CD/Recorded
$199
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Recorded/CD
FDA Inspection Preparedness

FDA Inspection Preparedness

  • Speaker: Susan Muhr Leister
  • Product ID: 704221
  • Duration: 60 Min
This training program will discuss key terms and responsibilities related to FDA inspections and the purpose of the BIMO inspection program. It will also review the general purpose and overall process of an FDA inspection and enhance your inspection preparation strategies.
CD/Recorded
$229
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Recorded/CD
5-Hour Virtual Seminar: P2P Standards of Internal Controls - Preapproved by the American Purchasing Society

5-Hour Virtual Seminar: P2P Standards of Internal Controls - Preapproved by the American Purchasing Society

  • Speaker: Chris Doxey
  • Product ID: 704195
  • Duration: 5 hrs
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).
CD/Recorded
$499
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Recorded/CD
Accounts Receivable - Collection Techniques

Accounts Receivable - Collection Techniques

  • Speaker: Brian Shanahan
  • Product ID: 704279
  • Duration: 90 Min
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.
CD/Recorded
$149
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Recorded/CD
Regulation V - Fair Credit Reporting Act

Regulation V - Fair Credit Reporting Act

  • Speaker: Kara Lamphere
  • Product ID: 704290
  • Duration: 60 Min
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.
CD/Recorded
$249
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Recorded/CD
Developing Risk Models for AML and BSA Monitoring Programs

Developing Risk Models for AML and BSA Monitoring Programs

  • Speaker: Warren R Markowitz
  • Product ID: 703628
  • Duration: 60 Min
This session will offer insights on developing risk models for AML/BSA monitoring programs. Participants will gain keen understanding on the necessary and effective use of risk models.
CD/Recorded
$149
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Recorded/CD
Changes to the Uniform Commercial Code: Not Again! Important Updates & the Upcoming Amendments

Changes to the Uniform Commercial Code: Not Again! Important Updates & the Upcoming Amendments

  • Speaker: Jeffery Johnson
  • Product ID: 703407
  • Duration: 100 Min
This webinar will cover the changes to the Uniform Commercial Code (UCC), what you need to know about UCC and their upcoming amendments. You will learn how to document, close and record secured transactions that are covered by Revised Article 9 of the Uniform Commercial Code.
CD/Recorded
$149
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Recorded/CD
Challenges to Relevant Financial Statements and Valuation

Challenges to Relevant Financial Statements and Valuation

  • Speaker: Kevin Chenoweth
  • Product ID: 704309
  • Duration: 90 Min
This training program will analyze how ratio analysis applies to particular industries and will detail how a company’s current operations can be improved. The course will also deconstruct financial statements to understand key drivers to organic and inorganic growth.
CD/Recorded
$149
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Recorded/CD
Quantitative Analysis of Individual Borrower Credit Risk

Quantitative Analysis of Individual Borrower Credit Risk

  • Speaker: Joseph M. Pimbley
  • Product ID: 704326
  • Duration: 90 Min
This training program will detail the development and use of credit ratings for credit risk assessment; development of financial statement regression techniques as embodied in the Altman Z score for credit risk assessment; differences in quantitative tools for differing loan type; importance of data quality for quantitative tools, and more.
CD/Recorded
$149
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Recorded/CD
Recovery Audits and Contract Compliance - Types and Strategies to Improve Controls

Recovery Audits and Contract Compliance - Types and Strategies to Improve Controls

  • Speaker: Jon Casher
  • Product ID: 704284
  • Duration: 60 Min
This purchasing and accounts payable training will focus on why you should do recovery and contract compliance audits as well as some specialized audits as they can significantly enhance your bottom line. They can also help you learn how to improve and enhance controls to reduce future risks and exposure.
CD/Recorded
$149
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Recorded/CD
Analytics Based Enterprise Performance Management

Analytics Based Enterprise Performance Management

  • Speaker: Gary Cokins
  • Product ID: 704192
  • Duration: 90 Min
This training program will guide attendees in viewing enterprise and corporate performance management (EPM/CPM) as the seamless integration of managerial methods rather than as a process. The course will also offer insight into identifying and differentiating strategic KPIs in a balanced scorecard and operational performance indicators (PIs) in dashboards.
CD/Recorded
$149
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