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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
Detecting and Responding to Accounts Payable Fraud

Detecting and Responding to Accounts Payable Fraud

  • Speaker: Eli J Richardson
  • Product ID: 703471
  • Duration: 90 Min
This webinar on detecting and preventing Accounts Payable (AP) fraud will discuss various ways in which AP fraud can be committed, the telltale signs of AP fraud, and the various options for responding to possible AP fraud once it is recognized.
CD/Recorded
$179
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Recorded/CD
Conducting Investigative Interviews: Breaching Barriers with Hostile, Uncooperative, and Reluctant Interviewees

Conducting Investigative Interviews: Breaching Barriers with Hostile, Uncooperative, and Reluctant Interviewees

  • Speaker: John E Grimes
  • Product ID: 704835
  • Duration: 90 Min
Interviewing is a craft that involves applying proven and practiced steps along with skilled communication. This training program will discuss the art of human interaction to help achieve successful interview results. It will help participants in gaining the trust of the interviewee and in encouraging truthful responses.
CD/Recorded
$249
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Recorded/CD
Whistle While You Work: Protecting Your Organization from Whistleblower Threats

Whistle While You Work: Protecting Your Organization from Whistleblower Threats

  • Speaker: Christine Zack
  • Product ID: 705413
  • Duration: 60 Min
This webinar will provide an overview of SEC Whistleblower Rules such as False Claims Act, Dodd-Frank, Sarbanes-Oxley and Commodity Exchange Act. It will also discuss best practices on how to mitigate damages from an actual or purported whistleblower.
CD/Recorded
$0
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Recorded/CD
UCC4A Applications to ACH Payments, ACH Fraud Risk Management, and Contracts

UCC4A Applications to ACH Payments, ACH Fraud Risk Management, and Contracts

  • Speaker: Rayleen M Pirnie
  • Product ID: 705386
  • Duration: 90 Min
This webinar will untangle the complexities of UCC4A and how it applies to ACH payments. It will discuss legal and compliance risks presented by UCC4A and provisions impacting potential liability.
CD/Recorded
$0
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Recorded/CD
Exploring Excel: Data Analysis - Automating Excel-Based Financial Statements

Exploring Excel: Data Analysis - Automating Excel-Based Financial Statements

  • Speaker: David H Ringstrom
  • Product ID: 705039
  • Duration: 90 Min
This Excel training program will elucidate Excel functions that allow you to quickly create accounting reports. Attendees will learn how to create dynamic reports for any month of the year on one worksheet. They will also receive helpful handouts to help execute their learning.
CD/Recorded
$0
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Recorded/CD
Wage and Hour Compliance: It’s More Than Just Calculating Overtime

Wage and Hour Compliance: It’s More Than Just Calculating Overtime

  • Speaker: Vicki M. Lambert
  • Product ID: 705382
  • Duration: 90 Min
This webinar concentrates on federal and state wage and hour requirements that must be followed in the payroll department. The key areas that will be covered in the training program include calculating overtime, travel time, minimum wage, posting requirements, meal and rest periods, how often an employee must be paid and by what method and paying terminated employees.
CD/Recorded
$0
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Recorded/CD
Tax Refund Fraud: The Fraud that Keeps Getting Worse

Tax Refund Fraud: The Fraud that Keeps Getting Worse

  • Speaker: Rayleen M Pirnie
  • Product ID: 705134
  • Duration: 90 Min
This training program will help identity frauds that lead to tax refund fraud and discuss funds availability exceptions. It will also discuss common non-post issues, the IRS Opt-In Program and eLeads, refund handling procedures, remedial actions, and suspicious activity reports.
CD/Recorded
$0
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Recorded/CD
Commercial Real Estate (CRE) Lending in Today’s Economy

Commercial Real Estate (CRE) Lending in Today’s Economy

  • Speaker: David L Osburn
  • Product ID: 705377
  • Duration: 90 Min
This training program will review the basics of commercial real estate including types of properties and demand/supply in the current market. Attendees will learn the steps of marketing, approving, documenting, closing, and monitoring a commercial real estate loan.
CD/Recorded
$0
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Recorded/CD
Mitigating Strategies for New Product Development Process & Approvals - Policy, Governance and Methodology

Mitigating Strategies for New Product Development Process & Approvals - Policy, Governance and Methodology

  • Speaker: Mario Mosse
  • Product ID: 705132
  • Duration: 90 Min
Many financial scandals and significant operational losses can be traced back to poorly designed or improperly implemented products. Other problems arise from faulty legal and operational processes that lead to improper documentation and other issues. This training program will address risks and corresponding mitigating strategies involved in the new product development process. It will also discuss risk assessment protocol and product monitoring.
CD/Recorded
$249
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Recorded/CD
Evidence Gathering in a Fraud Investigation

Evidence Gathering in a Fraud Investigation

  • Speaker: Eli J Richardson
  • Product ID: 703498
  • Duration: 60 Min
This webinar will explain tools and tips for conducting internal investigations. Attendees will learn how to conduct effective witness interviews, how to draft comprehensive investigative reports and how to report evidence of fraud to law-enforcement authorities.
CD/Recorded
$179
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Recorded/CD
ACH Exception Processing - Part 3: Reinitiation and Reversals

ACH Exception Processing - Part 3: Reinitiation and Reversals

  • Speaker: Donna K Olheiser
  • Product ID: 705350
  • Duration: 90 Min
This is the third training session in the 3-part series on Exception Processing. It’s not just about return entries – exceptions are anything that is out of the ordinary ACH processing day-to-day (such as Direct Deposits and Direct Payments via ACH). Reinitiation of Entries and the Reversal process are anything but ordinary; they require knowing what the specifics are and ensuring a financial institution is in compliance with the NACHA Operating Rules.
CD/Recorded
$0
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Recorded/CD
Regulation B - Equal Credit Opportunity Act (ECOA)

Regulation B - Equal Credit Opportunity Act (ECOA)

  • Speaker: Kara Lamphere
  • Product ID: 704268
  • Duration: 60 Min
This training program will help attendees understand how policies created to help keep costs low and net earnings up could create a disparate impact situation in your organization. Attendees will also learn the nuances with notification requirements especially related to incomplete applications.
CD/Recorded
$249
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Recorded/CD
The IRS Audit Process - Preparing for and Resolving an Audit Decoding the IRS Audit Process

The IRS Audit Process - Preparing for and Resolving an Audit Decoding the IRS Audit Process

  • Speaker: Travis A Greaves,T Joshua Wu
  • Product ID: 705154
  • Duration: 60 Min
Both clients and tax advisors should be aware of the IRS audit process. This webinar will introduce advisors and clients to factors the IRS considers in selecting an individual for audit, how the IRS obtains information during the audit, and provides you the tools needed to represent the client through IRS appeals.
CD/Recorded
$0
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Recorded/CD
BSA/AML/OFAC Risk Assessments and Evaluation Compliance Program - How to Deal, Change and Create Efficiencies and Effectiveness Processes

BSA/AML/OFAC Risk Assessments and Evaluation Compliance Program - How to Deal, Change and Create Efficiencies and Effectiveness Processes

  • Speaker: Kara Lamphere
  • Product ID: 703493
  • Duration: 60 Min
This webinar will highlight BSA/AML/OFAC risk assessments and evaluation compliance program. It will discuss BSA definitions, OFAC rules, Currency Transaction Reporting (CTR), Suspicious Activity Reporting (SAR) including additional requirements, such as 314(a), PEPs, and Pouch activities and much more.
CD/Recorded
$179
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Recorded/CD
Fraud Awareness Programs

Fraud Awareness Programs

  • Speaker: Lynn Fountain
  • Product ID: 702960
  • Duration: 90 Min
This training on fraud awareness program will discuss recent history and profile of fraud cases and will help attendees understand specific processes and techniques needed to be effective when providing assistance on fraud issues.
CD/Recorded
$0
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Recorded/CD
Handling Situations Where Regulation E and ACH Don't Align

Handling Situations Where Regulation E and ACH Don't Align

  • Speaker: Rayleen M Pirnie
  • Product ID: 705090
  • Duration: 90 Min
This training program will review intent and focus of Regulation E and the ACH Rules. It will analyze situations where Regulation E and the ACH Rules do not align and help determine appropriate responses and procedures to manage risk and loss.
CD/Recorded
$299
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Recorded/CD
Strengthening Compliance with Effective AML Analytics, Algorithms, Machine Learning and Data Science

Strengthening Compliance with Effective AML Analytics, Algorithms, Machine Learning and Data Science

  • Speaker: Joe Soniat
  • Product ID: 705143
  • Duration: 60 Min
Learn how effective AML analytics, algorithms, machine learning and data science can strengthen your compliance program. This session will also discuss using analytics to help BSA/AML investigations, how you can use the CDD data gathered along with analytics, model validation and BSA/AML.
CD/Recorded
$199
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Recorded/CD
Loan Structure, Documentation, and Compliance Training: A Comprehensive Approach

Loan Structure, Documentation, and Compliance Training: A Comprehensive Approach

  • Speaker: David L Osburn
  • Product ID: 705314
  • Duration: 90 Min
Attend this proactive webinar and receive a thorough overview of commercial lending requirements from a loan structure, documentation, and compliance perspective. The webinar will be summarized through a comprehensive case study.
CD/Recorded
$229
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Recorded/CD
The New OFAC - OFSI?: Iran Financial Sanctions, Guidance & Many More

The New OFAC - OFSI?: Iran Financial Sanctions, Guidance & Many More

  • Speaker: Shaun Miller
  • Product ID: 705160
  • Duration: 90 Min
This training program will examine the process for imposing monetary penalties for breaches of financial sanctions. It will also deconstruct the process for imposing monetary penalties for breaches of financial sanctions: consultation, operating within counter-terrorism legislation.
CD/Recorded
$0
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Recorded/CD
Implementing a Risk Management Program - Handbook, Risk Appetite and Risk Culture

Implementing a Risk Management Program - Handbook, Risk Appetite and Risk Culture

  • Speaker: Fred Vacelet
  • Product ID: 705115
  • Duration: 60 Min
This training program will review a few ways to ensure that a financial institution reviews things from the start and consistently, in setting up a risk management framework that allows the bank to focus on its strategy rather than mere compliance.
CD/Recorded
$229
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