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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
B2B Payments in the U.S. and the Compliance Issues They Face

B2B Payments in the U.S. and the Compliance Issues They Face

  • Speaker: Ray Graber
  • Product ID: 704078
  • Duration: 60 Min
This training program will offer attendees a greater understanding of payment types that are declining and those that are growing: ACH, CHIPS, and Fedwire. Plans and polices to combat payment theft and related fraud will also be detailed in the webinar.
CD/Recorded
$149
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Recorded/CD
AML - New Techniques for Laundering Money

AML - New Techniques for Laundering Money

  • Speaker: Burke Files
  • Product ID: 704072
  • Duration: 90 Min
This training program will look at the new frontiers for moving money that is nearly untraceable. The objective of the course is to sensitize the participant to see what might not make sense and thus know when to make deeper forays into activities they have spotted.
CD/Recorded
$149
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Recorded/CD
Internal Audit's Role in Enterprise Risk Management

Internal Audit's Role in Enterprise Risk Management

  • Speaker: Denise Cicchella
  • Product ID: 703104
  • Duration: 90 Min
This training on internal audit compliance will help the attendees understand the role and importance of audits in enterprise risk management program. Learn assurance models and standards and how audit can help.
CD/Recorded
$149
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Recorded/CD
Trends in Audit, Risk, and Compliance: Integrating your ''ARC''

Trends in Audit, Risk, and Compliance: Integrating your ''ARC''

  • Speaker: Michael Brozzetti
  • Product ID: 702302
  • Duration: 60 Min
This webinar will provide an in-depth understanding about the key challenges and opportunities in integrating your organization's audit, risk and compliance activities.
CD/Recorded
$199
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Recorded/CD
Fraud Prevention at the Branch

Fraud Prevention at the Branch

  • Speaker: Susan Wind
  • Product ID: 704060
  • Duration: 60 Min
This training program will discuss how fraudulent activities continue to stay on the rise despite enhanced technology. Financial institutions are starting to get more aggressive with securing their networks and computer systems, along with conducting more ongoing and thorough background checks on employees. The course will detail how using more preventative measures to identity and stop fraud is key in any organization.
CD/Recorded
$149
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Recorded/CD
2015 SEC Enforcement Initiatives and Controls to Defend Them

2015 SEC Enforcement Initiatives and Controls to Defend Them

  • Speaker: H. David Kotz
  • Product ID: 704018
  • Duration: 75 Min
This training program will detail new SEC enforcement initiatives and discuss the SEC enforcement mindset. It will also discuss SEC enforcement trends over time and controls to put in place to prevent exposure.
CD/Recorded
$149
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Recorded/CD
How to Effectively Identify and Complete a Successful Merger or Acquisition of a Bank

How to Effectively Identify and Complete a Successful Merger or Acquisition of a Bank

  • Speaker: Toby Lawrence
  • Product ID: 704014
  • Duration: 60 Min
This training program will discuss how to create an effective M&A strategic plan that will help attendees identify and solicit targets that will add to the long-term shareholder value of their institution. Is your institution in the market for an acquisition or looking to grow? If so, this session will assist you and discuss keys to identifying and persuading an acquisition target interested in selling and the steps to completing a successful acquisition.
CD/Recorded
$50
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Recorded/CD
How to Address 15 Key AP and Purchasing Compliance Issues

How to Address 15 Key AP and Purchasing Compliance Issues

  • Speaker: Jon Casher
  • Product ID: 702856
  • Duration: 60 Min
This purchasing and accounts payable (AP)regulations training will focus on the necessary steps to be taken to avoid compliance issues, penalties and lawsuits. It will also explain how to identify an organization’s weaknesses and how to address the challenges related to AP and purchasing compliance.
CD/Recorded
$149
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Recorded/CD
Webinar on Supply Chain Finance

Webinar on Supply Chain Finance

  • Speaker: Buddy Baker
  • Product ID: 702640
  • Duration: 90 Min
This session will examine the origins of supply-chain finance, the current state, and the projected future and its impact on importers, exporters, and banks.
CD/Recorded
$50
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Recorded/CD
BSA, De-Risking: Why De-Risk When You Can Re-Risk?

BSA, De-Risking: Why De-Risk When You Can Re-Risk?

  • Speaker: Laura H Goldzung
  • Product ID: 703985
  • Duration: 90 Min
This webinar will highlight the opportunity to define enhanced diligence that can be used for conducting an effective high risk review in order to ensure compliance with Bank Secrecy Act (BSA) regulations and regulatory expectations.
CD/Recorded
$149
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Recorded/CD
2015 OFAC Sanction, Related Export Control Violations and Enforcement Trends: Best Practices for Preventing Violations

2015 OFAC Sanction, Related Export Control Violations and Enforcement Trends: Best Practices for Preventing Violations

  • Speaker: Robert J Ward Jr
  • Product ID: 703919
  • Duration: 90 Min
This training program will update participants on the developments regarding OFAC sanctions, OFAC enforcement trends as well as related export control traps for the unwary. The discussion of OFAC sanction developments will give participants an appreciation of the new war chest of punitive measures being deployed in recent executive orders.
CD/Recorded
$50
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Recorded/CD
Letters of Credit, OFAC, Antiboycott and AML Regulations for Trade Service Bankers

Letters of Credit, OFAC, Antiboycott and AML Regulations for Trade Service Bankers

  • Speaker: Buddy Baker
  • Product ID: 703967
  • Duration: 90 Min
This training program will provide participants with an essential, basic understanding of U.S. rules and regulations governing international trade. The regulations contain required (and prohibited) business conduct, with penalties for failure to comply including fines, loss of export privileges, and even jail terms. In many cases, banks are required to police transactions they handle and report violations.
CD/Recorded
$149
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Recorded/CD
How Audit Evaluation Can Ensure Effective Decision Making Under Uncertainty

How Audit Evaluation Can Ensure Effective Decision Making Under Uncertainty

  • Speaker: Geary Sikich
  • Product ID: 703679
  • Duration: 60 Min
This presentation will explore the nature of decision making in crisis situations. It will explore the psychology of decision making under stress and overview risk management analysis tools. The webinar instructor will present tips and techniques to identify structural and cyclical changes, improve risk management strategy processes, and identify transparent vulnerabilities.
CD/Recorded
$149
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Recorded/CD
Building an Effective BSA/AML Compliance Program

Building an Effective BSA/AML Compliance Program

  • Speaker: Armen Khachadourian
  • Product ID: 703864
  • Duration: 60 Min
The prevention of money laundering is a key focus of regulatory authorities in developed countries around the world. Money laundering regulations are designed to inhibit the movement of funds derived from criminal activity and to restrict the availability of money to fund terrorist activities. This training program will detail the historical context of AML regulations, best practices to implement an effective AML program, and reporting guidelines for the same.
CD/Recorded
$149
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Recorded/CD
Qualified vs. Non-Qualified Deferred Compensation Plan - 409A, ERISA and Govt. Filing Requirements

Qualified vs. Non-Qualified Deferred Compensation Plan - 409A, ERISA and Govt. Filing Requirements

  • Speaker: Steve Flores
  • Product ID: 703666
  • Duration: 60 Min
This presentation will provide you with a good foundation to help you design and administer these nonqualified deferred compensation plans in a legally compliant manner. You will learn the differences between qualified and non-qualified plans, ERISA, 409A & Govt. filing requirments.
CD/Recorded
$149
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Recorded/CD
U.S. Payments Landscape - Its Significant Changes and How it Affects Merchants Accepting Payments

U.S. Payments Landscape - Its Significant Changes and How it Affects Merchants Accepting Payments

  • Speaker: Armen Khachadourian
  • Product ID: 703863
  • Duration: 60 Min
Different payment approaches are starting to remove the requirement for a payment card at the point-of-sale (POS), leveraging cloud-based services or mobile devices. This training program will enumerate how significant changes in the U.S. payments landscape are effecting how merchants accept payments.
CD/Recorded
$149
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Recorded/CD
Why Fraud Happens and What to do: Critical Concepts on How to Prevent, Detect and Mitigate Fraud

Why Fraud Happens and What to do: Critical Concepts on How to Prevent, Detect and Mitigate Fraud

  • Speaker: Lynn Fountain
  • Product ID: 703878
  • Duration: 90 Min
Auditors and financial managers are not expected to have the expertise of forensic investigators, but they should have adequate knowledge of the aspects of fraud and maintain a skeptical mind when it comes to reviewing potential violations. Like internal controls, the economy, and business strategy, fraud continues to evolve and auditors must stay abreast of its root causes. This training program will highlight these root causes and detail suggested mitigation and investigation techniques.
CD/Recorded
$0
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Recorded/CD
Evaluating the Effectiveness of your ERM Program: Risk Assessment, Recognizing Risk Awareness, and Building a Strong and Effective ERM Program

Evaluating the Effectiveness of your ERM Program: Risk Assessment, Recognizing Risk Awareness, and Building a Strong and Effective ERM Program

  • Speaker: Gary W Patterson
  • Product ID: 703626
  • Duration: 60 Min
This webinar will detail ERM core elements and discuss the basics of risk assessment. Attendees will learn to identify critical risk areas and mange backlog of risk areas as well.
CD/Recorded
$149
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Recorded/CD
Intersection of AML-OFAC Requirements with FATCA Requirements - FinCen, Customer Onboarding & More

Intersection of AML-OFAC Requirements with FATCA Requirements - FinCen, Customer Onboarding & More

  • Speaker: Steven G Lewis
  • Product ID: 703668
  • Duration: 60 Min
This session will explore the different requirements of FATCA, AML, OFAC and how to avoid breaking these regulatory requirements. You will understand how to deal with all the differing requirements and developing a Customer Due Diligence strategy to deal with such scenarios.
CD/Recorded
$149
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Recorded/CD
Crowdfunding

Crowdfunding

  • Speaker: Jeffrey Brandon
  • Product ID: 703796
  • Duration: 60 Min
Crowdfunding came into existence under Title lll of the JOBS Act. The JOBS Act requires the SEC to write rules and issue studies on capital formation, disclosure and registration requirements. The JOBS Act provides a newly formed cost effective access to the formation of capital for smaller corporate America. This webinar will discuss the various forms of crowdfunding and funding portals and the regulations that presently apply and other regulations that may be applicable soon.
CD/Recorded
$149
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