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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
EDD what are the auditors looking for?

EDD what are the auditors looking for?

  • Speaker: Vicki Landon
  • Product ID: 703455
  • Duration: 90 Min
This webinar will explain the concept of Enhanced Due Diligence (EDD), including EDD time tables and checklist. Attendees will learn how to conduct Enhanced Due Diligence (EDD) that will satisfy the auditors.
CD/Recorded
$249
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Recorded/CD
How to Conduct an Internal Audit to Avoid an External One

How to Conduct an Internal Audit to Avoid an External One

  • Speaker: Vicki M. Lambert
  • Product ID: 703353
  • Duration: 90 Min
Attend this webinar to learn the strategies for conducting an internal audit and discover whether or not you have been subject to fraud plus help you to prevent internal fraud in the future. It will provide best practices for payroll departments to avoid external audits.
CD/Recorded
$249
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Recorded/CD
Advanced Financial Statement Analysis - Liquidity, Activity, Leverage, Operating Performance, Cash Flow, Z-Score and Case Studies

Advanced Financial Statement Analysis - Liquidity, Activity, Leverage, Operating Performance, Cash Flow, Z-Score and Case Studies

  • Speaker: David L Osburn
  • Product ID: 704641
  • Duration: 90 Min
This training program will explore the vital world of advanced financial statement analysis. This session will include a review of the four financial statements and a five-step analysis model including liquidity, activity, leverage, operating performance, and cash flow. It will also review the Z-score (bankruptcy predictor) and the sustainable growth models. The webinar is a must for all commercial lenders and credit administrators.
CD/Recorded
$299
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Recorded/CD
Multistate Taxation - Fundamentals and Best Practices for Handling Multistate employees

Multistate Taxation - Fundamentals and Best Practices for Handling Multistate employees

  • Speaker: Vicki M. Lambert
  • Product ID: 702984
  • Duration: 90 Min
Attend this webinar to learn payroll best practices (handling of state taxes, wage and hour law, and garnishments) when an employee lives in one state and works in another, or works in two or more states simultaneously. This Includes determining liability as an employer, reciprocal agreements, resident and nonresident taxation, Form W-4 equivalents, state unemployment insurance, wage and hour law requirements and garnishment withholding.
CD/Recorded
$249
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Recorded/CD
AML Investigations and SAR Preparation

AML Investigations and SAR Preparation

  • Speaker: Armen Khachadourian
  • Product ID: 704406
  • Duration: 90 Min
This training program will provide guidance in recognizing, investigating and reporting suspicious activities. It will also discuss instructions on implementing and maintaining an enterprise wide compliance program to safeguard the financial system from illicit use and combat money laundering and promote national security through the collection, analysis, and dissemination of financial intelligence to the regulatory authorities.
CD/Recorded
$249
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Recorded/CD
Fringe Benefits Blitz for 2019: Taxing and Reporting Fringe Benefits

Fringe Benefits Blitz for 2019: Taxing and Reporting Fringe Benefits

  • Speaker: Vicki M. Lambert
  • Product ID: 705447
  • Duration: 90 Min
This webinar will focus on requirements for taxation and reporting of employee fringe benefits including transportation fringe benefits, section 132 fringe benefits, meals, clothing, housing and education fringe benefits, and third party sick pay. It will also provide best practices to comply with IRS taxation and reporting requirements.
CD/Recorded
$0
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Recorded/CD
BSA/AML - What is Old is New Again?

BSA/AML - What is Old is New Again?

  • Speaker: Armen Khachadourian
  • Product ID: 703352
  • Duration: 90 Min
This webinar will provide attendees a clear understanding of the compliance department of the future. Attendees will learn the best practices to ensure BSA and AML compliance and avoid failure and fines.
CD/Recorded
$249
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Recorded/CD
Procure to Pay (P2P) Fraud: Critical Controls, Risk Mitigation and Case Studies for Analyzing What Went Wrong

Procure to Pay (P2P) Fraud: Critical Controls, Risk Mitigation and Case Studies for Analyzing What Went Wrong

  • Speaker: Chris Doxey
  • Product ID: 703859
  • Duration: 60 Min
This unique and interactive workshop will analyze real time case studies from all components of the procure to pay (P2P) process that include: procurement, T&E, P-Card, AP, and disbursements. Attendees will have an opportunity to discuss what went wrong and will determine the key internal controls that were missing. The instructor will highlight the three critical corporate controls, the standards of internal control for P2P, and the top twenty controls for AP.
CD/Recorded
$249
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Recorded/CD
ACH 101 for Originators

ACH 101 for Originators

  • Speaker: Rayleen M Pirnie
  • Product ID: 705184
  • Duration: 90 Min
While breaking down the ACH Rules book, this webinar training will explore originator (i.e. business) obligations, help identify participants and transactions, and analyze important processing rules. The course will also discuss the benefits of ACH and the process flow, including debit and credit transactions.
CD/Recorded
$229
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Recorded/CD
Form W-4 for 2019: Best Practice and Compliance Requirements

Form W-4 for 2019: Best Practice and Compliance Requirements

  • Speaker: Vicki M. Lambert
  • Product ID: 703858
  • Duration: 90 Min
This webinar covers the IRS Form W-4 for 2019 including the requirements for completing the form properly, handling non-resident aliens, state equivalent forms, record retention and processing the form electronically instead of on paper. We also cover the changes to the 2019 form caused by the Tax Cuts and Jobs Act and give information on the related anticipated changes to Form W-4 for 2020. We will also discuss best practices for processing more efficiently within the department.
CD/Recorded
$249
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Recorded/CD
Excel Data Visualization - Charts and Infographics

Excel Data Visualization - Charts and Infographics

  • Speaker: Mike Thomas
  • Product ID: 705088
  • Duration: 90 Min
In this session, participants will learn how to visually represent your data using both traditional charts (bar charts, line charts etc.) as well as how to do the same using some of Excel's non-charting tools.
CD/Recorded
$199
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Recorded/CD
The Alarming State of Wire Transfer Fraud

The Alarming State of Wire Transfer Fraud

  • Speaker: Rayleen M Pirnie
  • Product ID: 705070
  • Duration: 90 Min
Wire transfer fraud has often rendered businesses and financial institutions helpless despite their best efforts to combat the threat. This training program will identify the red flags of common forms of wire transfer fraud and help understand how you can isolate your organization and help combat fraud. The webinar instructor will also review sound risk assessment practices to help minimize exposure.
CD/Recorded
$199
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Recorded/CD
FATCA - The Foreign Accounts Tax Compliance Act

FATCA - The Foreign Accounts Tax Compliance Act

  • Speaker: Miles Hutchinson
  • Product ID: 703242
  • Duration: 90 Min
This training on Foreign Accounts Tax Compliance Act will teach the attendees best practices to ensure compliance with FATCA. Learn how to comply with your withholding and reporting obligations.
CD/Recorded
$249
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Recorded/CD
Excel as a BI Tool - Creating a Dashboard

Excel as a BI Tool - Creating a Dashboard

  • Speaker: Mike Thomas
  • Product ID: 705481
  • Duration: 90 Min
In this webinar, attendees will learn how to create a stunning, interactive professional-looking dashboard using Excel. This training will provide you with a solid foundation that you can use to build your own dashboards and reports.
CD/Recorded
$179
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Recorded/CD
Critical Concepts to Understand the Balance Sheet, Income Statement, Cash Flow and Retained Earnings

Critical Concepts to Understand the Balance Sheet, Income Statement, Cash Flow and Retained Earnings

  • Speaker: Lynn Fountain
  • Product ID: 704834
  • Duration: 60 Min
Rather than focus on the computations and tactics of each of the statements, this training program will cover the important concepts of how the statements interact and relate to each other providing management with the critical information needed to manage financial stability of their organization. It is important professionals recognize that no one statement tells the complete story, but combined they provide a powerful tool for management.
CD/Recorded
$229
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Recorded/CD
Panama Papers and PEP Screening - KYC and Sanctions Filtering

Panama Papers and PEP Screening - KYC and Sanctions Filtering

  • Speaker: Armen Khachadourian
  • Product ID: 704630
  • Duration: 90 Min
This training program will explore the operational implications of dealing with heightened-risk categories such as PEP screening at the heels of the Panama Papers controversy. The program will also 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
$249
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Recorded/CD
Internal Controls - What Every Manager Needs to Know

Internal Controls - What Every Manager Needs to Know

  • Speaker: Lynn Fountain
  • Product ID: 703148
  • Duration: 90 Min
This webinar highlights the importance of management’s role in instilling proper internal controls within their processes. In this session, instructor will explore methods to educate management on their individual responsibilities for control processes and the variance between a control malfunction and control design issues. Participants will be provided with tools to help management better understand their role in internal control and effectively execute their obligations. The session will also review the impending COSO changes and examine how they may impact your organization.
CD/Recorded
$249
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Recorded/CD
Detecting and Preventing Embezzlement in Your Organization

Detecting and Preventing Embezzlement in Your Organization

  • Speaker: Peter Goldmann
  • Product ID: 703763
  • Duration: 90 Min
While there are innumerable ways to detect, prevent and investigate embezzlement, it is not always easy to organize a consistently effective anti-embezzlement strategy. This webinar will guide you through the common and not-so-common forms of embezzlement—with uniquely instructional case studies. It will emphasize the red flags of each and go on to highlight best practices in embezzlement risk mitigation.
CD/Recorded
$179
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Recorded/CD
Excel Dashboard for the Financial Professional - Great for Anyone Interested in Excel Dashboard Techniques

Excel Dashboard for the Financial Professional - Great for Anyone Interested in Excel Dashboard Techniques

  • Speaker: Joe Weil
  • Product ID: 705156
  • Duration: 90 Min
The hallmark of an interactive, data-driven dashboard is the ability to see and understand data at the speed of thought. This training webinar will deliver the skills needed to design well-planned Excel dashboards that present answers to questions in real-time, render visually striking displays, turn insight into action, help accomplish your firm’s objectives and improve your Excel skills. Attendees will be able to define key performance indicators and build a dashboard in Excel to monitor them.
CD/Recorded
$199
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Recorded/CD
Handling Consumer ACH Disputes: Advanced ACH Sticky Situations

Handling Consumer ACH Disputes: Advanced ACH Sticky Situations

  • Speaker: Rayleen M Pirnie
  • Product ID: 705100
  • Duration: 90 Min
This ACH training program will review common consumer issues and situations while handling ACH disputes. It will guide participants in deciding the appropriate course of action in given situations. Participants will also learn what to do when a customer/member won’t complete a WSUD.
CD/Recorded
$249
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