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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
ACH Originators and Setting Exposure Limits

ACH Originators and Setting Exposure Limits

  • Speaker: Luann Kohlmann
  • Product ID: 703784
  • Duration: 100 Min
With the increasing movement toward an electronic, interconnected and mobile infrastructure, it’s critical that electronic payments work safely and efficiently for all users. The ACH Network enables just that: by using batch processing and a store-and-forward system, it moves almost $39 trillion and 22 billion electronic financial transactions each year. This webinar will offer attendees an understanding of the different business customers who are your originators, third party senders, the credit risk associated with ACH Origination, and the required exposure limits.
CD/Recorded
$149
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Recorded/CD
Sanctions Screening / PEP Screening: BSA, AML, KYC

Sanctions Screening / PEP Screening: BSA, AML, KYC

  • Speaker: Armen Khachadourian
  • Product ID: 704262
  • Duration: 90 Min
This training program will discuss the current changes in the marketplace and expose the new faces of AML and examine areas of PEP regulation that pose present and future challenges for regulated businesses.
CD/Recorded
$149
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Recorded/CD
Proper Recordkeeping in Quickbooks

Proper Recordkeeping in Quickbooks

  • Speaker: JeFreda Brown
  • Product ID: 704238
  • Duration: 90 Min
This training program will detail important requirements for adequate financial recordkeeping. Attendees will learn how to record transactions, develop financial reports, and proper recordkeeping in QuickBooks.
CD/Recorded
$149
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Recorded/CD
Crowdfunding and the Community Capital Marketplace

Crowdfunding and the Community Capital Marketplace

  • Speaker: Kim Kaselionis
  • Product ID: 704128
  • Duration: 90 Min
This training program will discuss how crowdfunding has come of age. It will also detail business capitalization and investment opportunities created by the JOBS Act of 2012.
CD/Recorded
$50
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Recorded/CD
Letters of Credit for Importers and Exporters

Letters of Credit for Importers and Exporters

  • Speaker: Daniel Gardner
  • Product ID: 704106
  • Duration: 60 Min
This training program on letters of credit for importers and exporters is designed to provide attendees with an end-to-end understanding of the L/C (letter of credit) process. From the beginning of a contractual agreement, through the letter of credit application process and actual negotiation of the L/C, this information-rich webinar will provide techniques that are indispensable to both importers and exporters.
CD/Recorded
$149
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Recorded/CD
Regulation E Requirements for Debit Card Error Resolution: Processing, Disclosure and Investigation

Regulation E Requirements for Debit Card Error Resolution: Processing, Disclosure and Investigation

  • Speaker: Luann Kohlmann
  • Product ID: 703955
  • Duration: 100 Min
Debit card fraud is as prevalent as ever and one out of every 5 debit card holders in the U.S. has experienced fraud on their card. The consumer will expect the financial institution to remedy the situation once reported. This training program will analyze the liability of the accountholder versus the liability of the financial institution.
CD/Recorded
$149
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Recorded/CD
Cryptocurrencies - The Next Step in Banking: Implementation, Rules and Support

Cryptocurrencies - The Next Step in Banking: Implementation, Rules and Support

  • Speaker: Warren R Markowitz
  • Product ID: 704178
  • Duration: 60 Min
The objective of this training program is to understand the impact of cryptocurrencies and how they are shaping the current economics of the banking industry. The course will also offer attendees an understanding of how to implement protective and supportive measures into current compliance operations.
CD/Recorded
$149
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Recorded/CD
How to Conduct Corporate Fraud Investigations: Planning, Gathering and Drafting a Comprehensive Investigative Report

How to Conduct Corporate Fraud Investigations: Planning, Gathering and Drafting a Comprehensive Investigative Report

  • Speaker: H. David Kotz
  • Product ID: 703700
  • Duration: 90 Min
Learn more about fraud investigation and get trained on effective investigative techniques by former SEC Inspector General David Kotz. This executive training session will increase your understanding of conducting a credible fraud investigation and creating precise reports. The session will conclude with best practices for putting in place policies that detect and deter fraud.
CD/Recorded
$149
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Recorded/CD
OFAC and Other Denied Parties: What Your Company Needs to Know and Do

OFAC and Other Denied Parties: What Your Company Needs to Know and Do

  • Speaker: Jon Casher
  • Product ID: 703915
  • Duration: 60 Min
This training program will focus on what your company needs to know and do about laws and regulations within and outside the US regarding individuals and entities that you are prohibited from doing business with. These individuals and entities are sometimes referred to as denied, debarred, excluded or restricted parties. Contrary to the idea that these laws and regulations apply only to financial institutions, they, in fact, apply to all types of organizations. This session will identify the parts of your organization that need to be aware of the issues, the necessary controls and the steps you should take to avoid compliance issues, penalties and lawsuits.
CD/Recorded
$149
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Recorded/CD
Supplier Inspections, Audits, and Compliance Tracking

Supplier Inspections, Audits, and Compliance Tracking

  • Speaker: Richard Maksimoski
  • Product ID: 704130
  • Duration: 60 Min
Attendees will leave this training program with more confidence, vision, and productivity. The confidence comes from knowing that you have more tools to keep your product in compliance with regulatory and company standards. The ability to establish the necessary processes will allow attendees to remain confident that your company will be safe.
CD/Recorded
$149
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Recorded/CD
Internal Controls: Documenting Internal Accounting Policies and Procedures

Internal Controls: Documenting Internal Accounting Policies and Procedures

  • Speaker: Vidia Ramdeen
  • Product ID: 704125
  • Duration: 90 Min
This interactive training program will enable attendees to devise a plan to assess and develop their organization’s internal control structure. They will also gain an understanding of key areas that are impacted when there is a lack of internal controls.
CD/Recorded
$149
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Recorded/CD
Performing Your ACH Audit: The Ins and Outs of ACH Rule Compliance

Performing Your ACH Audit: The Ins and Outs of ACH Rule Compliance

  • Speaker: Luann Kohlmann
  • Product ID: 703861
  • Duration: 100 Min
The NACHA Operating Rules and Guidelines require that all participating depository financial institutions, third-party senders and third-party service providers that provide ACH services conduct an annual ACH audit to be performed by December 31 of each year (ACH Rules, Appendix Eight, Section 8.1). It is critical that electronic payments work safely and efficiently for all users. The ACH network strives for just that by requiring the annual ACH audit. This webinar will offer attendees a keen understanding of general audit requirements, and the functions of a receiving depository financial institution (RDFI), and an originating depository financial institution (ODFI).
CD/Recorded
$149
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Recorded/CD
Tax Favored Capital - Captive and Commercial Insurance Arrangements to Maximize Capital Formation

Tax Favored Capital - Captive and Commercial Insurance Arrangements to Maximize Capital Formation

  • Speaker: Lou Polur
  • Product ID: 704151
  • Duration: 90 Min
This training program will list business goals and strategic plans that a captive can advance and discuss revenue sources that enhance product and service offerings. The course will also discuss types of captives such as: single parent, risk retention group, group captives, risk pools, deductible reimbursements, fronting company, and reinsurance captives.
CD/Recorded
$149
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Recorded/CD
Steering Clear of DOJ’s Most Likely to Be Caught List

Steering Clear of DOJ’s Most Likely to Be Caught List

  • Speaker: Joe Dell Aquila,Harry Falber
  • Product ID: 704067
  • Duration: 90 Min
This training program will detail what a compliance program is and what it covers. It will discuss the DOJ’s (Department of Justice) compliance investigations over the last year. The course will also illustrate how compliance programs are successfully extended to external business partners and how a code of conduct should be written into a compliance program.
CD/Recorded
$50
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Recorded/CD
Insurance Fraud and Weapons to Fight Fraud

Insurance Fraud and Weapons to Fight Fraud

  • Speaker: Barry Zalma
  • Product ID: 703153
  • Duration: 90 Min
This anti-fraud training will help you understand the concept of insurance fraud and the use of red flags. Attendees will learn the various weapons to fight against fraudulent activities.
CD/Recorded
$50
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Recorded/CD
Operationalizing COSO Compliance to Enhance Your Control Environment and Contribute to SOX Efforts

Operationalizing COSO Compliance to Enhance Your Control Environment and Contribute to SOX Efforts

  • Speaker: Lynn Fountain
  • Product ID: 704139
  • Duration: 90 Min
This course will examine and evaluate the driving force behind COSO 2013 and suggested applications beyond ICFR. When the COSO foundation released the COSO 2013 framework, they specifically stated their intent that the framework be utilized for more than just ICFR. Many companies have undergone and completed the mapping processes for the 17 principles to the ICFR controls. They must now examine how the framework can move into the operational stage.
CD/Recorded
$0
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Recorded/CD
Achieving Consistent Performance with ERM

Achieving Consistent Performance with ERM

  • Speaker: David Birk
  • Product ID: 704135
  • Duration: 90 Min
This training program will offer attendees a broader perspective of understanding the risk responses that can be adapted to any particular situation and the importance of aligning risk management with strategy development.
CD/Recorded
$50
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Recorded/CD
Managing an Effective AML Audit Program

Managing an Effective AML Audit Program

  • Speaker: Laura H Goldzung
  • Product ID: 702988
  • Duration: 90 Min
This webinar will highlight the techniques and best practices that can be used for conducting an effective AML audit in order to ensure compliance with Bank Secrecy Act (BSA) regulations.
CD/Recorded
$149
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Recorded/CD
Writing Effective Credit Memos and Loan Narratives

Writing Effective Credit Memos and Loan Narratives

  • Speaker: Jeffery Johnson
  • Product ID: 703819
  • Duration: 100 Min
After a detailed credit analysis of a loan request has been performed, it is time to communicate your findings in writing. Credit memoranda are a primary means of communications within the banking industry. A good understanding of how to effectively write a credit memorandum can make all the difference in conducting a successful lending process to the consumer. This program will focus on training participants to write effective credit memos and loan narratives.
CD/Recorded
$149
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Recorded/CD
Consumer Debt Collection - Best Practices

Consumer Debt Collection - Best Practices

  • Speaker: Scott Transue
  • Product ID: 704063
  • Duration: 90 Min
This webinar will describe the Act in general, along with the other four laws that affect debt collectors as a whole: the Fair Credit Reporting Act, HIPPA, the Truth in Lending Act, and the Uniform Commercial Code. Attendees will learn what you can and cannot say and do with regard to consumer debt collection. In addition, the course will discuss tools you can use to hasten collecting consumer debt, without going to court in many instances. Finally, it will discuss the advantages and disadvantages of getting judgments, forgiving debt, and how to handle being sued by a debtor for allegedly violating the law.
CD/Recorded
$149
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