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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
Streamlining your QMS and Audit System for Remote Audits

Streamlining your QMS and Audit System for Remote Audits

  • Speaker: Betty Lane
  • Product ID: 703448
  • Duration: 60 Min
This webinar will cover creating of a value-added internal auditing program that is compliant to FDA cGMP/ Quality System Regulation and ISO 13485. It will include how to set up and manage the auditing system as well as how to conduct an internal audit and document the results and any nonconformities. It will discuss the value of a good internal auditing program.
CD/Recorded
$249
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Recorded/CD
How to Conduct High Quality Risk Assessments

How to Conduct High Quality Risk Assessments

  • Speaker: Mario Mosse
  • Product ID: 704994
  • Duration: 90 Min
This training program will help articulate your business objectives and define the scope of your risk assessment. It will guide attendees in identifying the most appropriate risk assessment technique and plan and facilitate a risk assessment. Further, the session will help tailor a risk matrix to enable you to rate your risks.
CD/Recorded
$349
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Recorded/CD
SR Letter 11-7 - Supervisory Guidance on Model Risk Management

SR Letter 11-7 - Supervisory Guidance on Model Risk Management

  • Speaker: Mario Mosse
  • Product ID: 703995
  • Duration: 90 Min
This training program will detail why SR Letter 11-7 has become the gold standard for model risk management, with its principle being adopted not only by banks but also virtually all U.S. financial institutions.
CD/Recorded
$249
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Recorded/CD
Weed, Cocaine and Heroin: What it Means to Your Bank or Credit Union?

Weed, Cocaine and Heroin: What it Means to Your Bank or Credit Union?

  • Speaker: Doug Keipper
  • Product ID: 705440
  • Duration: 60 Min
This webinar will focus on the today’s marketplace for weed, cocaine and opioids including heroin. It will cover topics such as FinCEN’s expectations regarding Marijuana-related businesses, drug enforcement agency fact sheets, FBI and DEA documentary on opioid abuse, summary review of transactions and much more.
CD/Recorded
$229
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Recorded/CD
How to Think Like a Crook - Money Laundering Prevention

How to Think Like a Crook - Money Laundering Prevention

  • Speaker: Doug Keipper
  • Product ID: 702770
  • Duration: 60 Min
This anti-money laundering training will describe the reasons and methods of money laundering in financial institutions. This will help attendees to protect themselves from regulatory risk by establishing an effective anti-money laundering system within their financial institution.
CD/Recorded
$199
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Recorded/CD
Effective Vendor Risk Management

Effective Vendor Risk Management

  • Speaker: Mario Mosse
  • Product ID: 705193
  • Duration: 90 Min
Vendor risk management is an important component of a financial institution’s operational risk management program. This training program will examine how a sound vendor risk management program, including careful planning, due diligence and selection, and close oversight and monitoring during the life of the contract, is necessary to reduce the risks posed by the outsourcing of critical functions.
CD/Recorded
$229
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Recorded/CD
Implementing P-Card Policies, Procedures, and Internal Controls Best Practices

Implementing P-Card Policies, Procedures, and Internal Controls Best Practices

  • Speaker: Chris Doxey
  • Product ID: 703920
  • Duration: 60 Min
This training program will discuss how purchasing cards (P Cards) provide a means for streamlining the procure-to-pay process, allowing organizations to procure goods and services in a timely manner, reduce transaction costs, track expenses, take advantage of supplier discounts, reduce or redirect staff in the purchasing and/or accounts payable departments, reduce or eliminate petty cash, and more. It will also illustrate how a P-Card program can create additional fraud risk and requires robust policies, procedures, and internal controls.
CD/Recorded
$199
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Recorded/CD
Designing and Using KPI's and Performance Dashboard

Designing and Using KPI's and Performance Dashboard

  • Speaker: Miles Hutchinson
  • Product ID: 703405
  • Duration: 90 Min
This webinar will explain how to design, implement and monitor critical Key Performance Indicators (KPIs) using powerful performance dashboards.
CD/Recorded
$199
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Recorded/CD
NEW Rules for Large Originators/TPS and TPSP - Discover the Impacts and Compliance Requirements

NEW Rules for Large Originators/TPS and TPSP - Discover the Impacts and Compliance Requirements

  • Speaker: Donna K Olheiser
  • Product ID: 705274
  • Duration: 60 Min
Details on the recently approved amendments to the existing ACH security framework and how they affect the TPSP, TPA and Originators. The implementation will take place over a 2-phased process, starting with the largest Originators and TPSP/TPS and ending with large Originators and TPSP/TPS based on volume of ACH transactions. Challenges that may be encountered will be discussed as Originators and TPSP/TPS prepare for this addition to the existing ACH security framework. Included will be the ODFI’s responsibility to ensure the Originator and TPSP/TPS follow this new Rule.
CD/Recorded
$229
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Recorded/CD
SOX: Internal Controls for Accounts Payable

SOX: Internal Controls for Accounts Payable

  • Speaker: Mike Morley
  • Product ID: 700323
  • Duration: 60 Min
This Internal Controls for Accounts Payable webinar will provide you with the tools you need to establish and maintain strong internal controls in the A/P department that meet Sarbanes-Oxley standards.
CD/Recorded
$229
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Recorded/CD
New Paradigm in Risk Management and Compliance: How to Anticipate and Prepare for More Regulatory Scrutiny

New Paradigm in Risk Management and Compliance: How to Anticipate and Prepare for More Regulatory Scrutiny

  • Speaker: Fred Vacelet
  • Product ID: 705183
  • Duration: 60 Min
Understand the paradigm shift in credit risk, market risk and risk regulation. In this webinar training, we will prescribe an antidote against the dust of old risk management thinking, and submit views on what the post-crisis risk management ideas may be.
CD/Recorded
$0
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Recorded/CD
Understanding How to Use Pivot Tables and Charts for Dashboard Construction - Putting It All Together!

Understanding How to Use Pivot Tables and Charts for Dashboard Construction - Putting It All Together!

  • Speaker: Joe Weil
  • Product ID: 705054
  • Duration: 100 Min
This easy-to-follow webinar training will illustrate the use of Pivot Tables, Pivot Charts and Pivot Table Slicers to analyze sales data by state, sales person and sales location. Pivot Tables are very versatile and allow the Excel professional to rapidly change rows, columns, and more to slice and dice raw data for detailed analysis and presentation. These same Pivot Table tools can be used for accounts receivable, inventories, personnel and much more.
CD/Recorded
$249
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Recorded/CD
Employee Fraud Detection and Prevention

Employee Fraud Detection and Prevention

  • Speaker: Peter Goldmann
  • Product ID: 704040
  • Duration: 90 Min
This fraud training program will focus on understanding the fraud problem and what propels employees to commit fraud. The course will also offer essential fraud detection tools and techniques and highlight best practices for developing and implementing anti-fraud controls.
CD/Recorded
$149
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Recorded/CD
Critical Anti-Fraud Audits under Procurement and Accounts Payable

Critical Anti-Fraud Audits under Procurement and Accounts Payable

  • Speaker: Marna Steuart
  • Product ID: 703533
  • Duration: 60 Min
This webinar will explain how to perform anti-fraud audits in the purchasing/accounts payable cycle. It will discuss the use of Audit Control Language (ACL) and how this tool and other tools like it (IDEA) are helpful in the analysis of accounts payable and purchasing data.
CD/Recorded
$249
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Recorded/CD
Compliance Requirements for Unauthorized Returns with recently Approved Changes to the Rules

Compliance Requirements for Unauthorized Returns with recently Approved Changes to the Rules

  • Speaker: Donna K Olheiser
  • Product ID: 705282
  • Duration: 60 Min
In this 60-minute session, the trainer will cover all the recently approved changes and details for returning an unauthorized transaction, including when to use a R10 or an R11 Return Reason Code. Examples used throughout the session will outline these changes, describe their effect on you as a participant in the ACH network, whether you are an RDFI or an ODFI.
CD/Recorded
$229
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Recorded/CD
Analyzing IFRS Financial Statements - What’s the Difference?

Analyzing IFRS Financial Statements - What’s the Difference?

  • Speaker: Mike Morley
  • Product ID: 704558
  • Duration: 60 Min
This training program will answer questions related to IFRS financial statements and compare them to GAAP based statements using numbers from examples that come from every-day life. The course will also analyze the four key principles of IFRS and the cash flow statement, and discuss using financial statement notes to decode the numbers.
CD/Recorded
$229
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Recorded/CD
Challenges, Opportunities and Compliance Requirements for Same Day ACH (SDA)

Challenges, Opportunities and Compliance Requirements for Same Day ACH (SDA)

  • Speaker: Donna K Olheiser
  • Product ID: 704019
  • Duration: 60 Min
This training program will detail what just happened with the adoption of the new Same Day ACH Rule and what will it do for the ACH payments network. It will also help identify the impact on financial institutions (ODFIs and RDFIs), including their originators.
CD/Recorded
$229
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Recorded/CD
Refresher for Bankers: Accounting Crash Course - All You Need to Know

Refresher for Bankers: Accounting Crash Course - All You Need to Know

  • Speaker: David L Osburn
  • Product ID: 704608
  • Duration: 60 Min
This training program will provide the banker with an effective overview of the basics/refresher of accounting. With the tools reviewed in this webinar, the often complex world of accounting will be presented in a straight-forward and useful manner. This is a must for all bankers looking to improve their knowledge of the vital discipline of accounting.
CD/Recorded
$249
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Recorded/CD
Operational Risk for Financial Institutions, Beyond Regulatory Constraints

Operational Risk for Financial Institutions, Beyond Regulatory Constraints

  • Speaker: Fred Vacelet
  • Product ID: 703260
  • Duration: 90 Min
This banking regulatory compliance training will help you understand operational risks in your organization and their impact on an organization’s efficiency. By attending this webinar you will learn the tools and techniques for managing the most important risks.
CD/Recorded
$0
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Recorded/CD
Operational Risk Scenario Analysis

Operational Risk Scenario Analysis

  • Speaker: Mario Mosse
  • Product ID: 703751
  • Duration: 90 Min
Scenario analysis complements the risk assessment process, which often overlooks material events that only happen infrequently, such as natural disasters, acts of terrorism, and data breaches. This webinar will highlight the importance of scenario analysis, its objectives and expected benefits, and the ideal methodology for quantifying and reporting operational risk scenarios.
CD/Recorded
$249
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