Banking, Financial Services Regulatory Compliance Training - Live Webinars, Recordings & CDs

The CFPB's debt collection rules will have a major impact on how and when consumers are contacted to pay-off debt. The consequences of not complying can have severe consequences for businesses. This webinar will discuss businesses' and consumers' rights under the new rules.

Do you know how to make a proper determination between an employee and an independent contractor? If not, you should attend a briefing on the rules and regulations available to help you with this complicated and risky issue.

This webinar will provide bankers with several advanced tax return concepts and related analyses to help them more effectively work with their business customers. It will discuss corporate tax issues including business structure, Section 179 depreciation, and bonus depreciation as well as employer provided benefits including “qualified retirement plans” and health savings accounts (HSAs).

This webinar will guide you through the critical steps in ensuring strong controls for the accounts payable (AP) function and provide practical 'how to' guidance for minimizing your organization’s exposure to AP fraudsters.

This 90-minute webinar will summarize the main types of reimbursement fraud to be alert to, and include an analysis of several “real life” case studies. It will explain how to identify the red flags of possible reimbursement fraud, offer specific fraud-audit techniques and test for these crimes and conclude with a rundown of proven anti-fraud controls.

This course provides a systematic approach covering the fundamental steps needed to manage operational risks in banks and financial institutions. Based on the three-core approach to operational risk management, it expands into critical issues such as risk analysis, risk appetite, probability, impact, and risk mitigation processes. Because external events are an Operational Risk factor we take a brief look at the COVID-19 pandemic.

With BREXIT, the world now has at least three major authorities issuing sanctions and restrictive measures across the global financial system. In addition to OFAC sanctions issued by the US, and restrictive measures of the EU, the UK has its own regime that can impact international trade and financial flows. These are in addition to any sanctions that may be imposed by the United Nations and other national bodies. As the proliferation of these sanctions regimes continue, risks arise that entities conducting international transactions may run afoul of some of the restrictions, due to conflicting and sometimes opposing restrictions.

This Bank Secrecy Act (BSA) program training will guide attendees through the methods to train each segment of the bank’s or credit union’s employees annually on Bank Secrecy Act. It can be used as a “Train the Trainer” course or as annual training for all employees.

This training program will examine vendor/billing schemes that exploit payments process control weaknesses; latest electronic payments schemes (ACH hijacking, spear-phishing, social engineering); check counterfeiting, forgery and tampering schemes to be aware of; and, detecting common external payments schemes versus internal attacks.

In this webinar, you will learn practical tips for complying with the new guidelines for this complex area of accounting and reporting. It will help you analyze typical transactions to recognize their lease characteristics, account for and report them in compliance with the new rules.

Key Performance Indicators and Metrics provide your AP or Procurement operation with vital information that you can use to measure success and drive process improvement. In this webinar we will discuss how to create a culture of continuous improvement within your operation using metrics.

This 90-minute webinar will help attendees discover the various types of payroll scams, how to recognize key signs of fraud, and ways to prevent and eliminate payroll fraud. It will further offer best practices to use in payroll audits to defend against fraud and negligence.

Have you struggled with the question - “When do I use a Stop Pay form and when do I need a Written Statement of Unauthorized Debit (WSUD)?” This is YOUR session! The trainer in this session will provide examples of when to use which form and why plus tying this information back to what the NACHA Operating Rules state to ensure you are in compliance each time you help your account holder with their request. With the newly adopted Rules change for 2020 with “unauthorized returns” what Return Reason code do I use and why? Return Reason Code R10 or R11 and what is the difference when using these to return Entries as unauthorized? Key points illustrated during this virtual workshop will assist your customer service and front-line staff as well as your operations staff.

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.

Learn how to analyze the numbers and use this intel to juice up virtually every facet of your organization’s operations from sales and marketing, to finance, HR, and customer service. Use our proven model to quickly assess the financial condition and results of operations of any business using trend and ratio analysis. Join C-suites and business analysts from around the country and empower your team to maximize the benefit from your crystal clear understanding of the numbers. If you are interested in understanding the numbers and have basic grasp of excel, you will enjoy and benefit from this course.

For years the IRS has struggled with non-compliance by independent contractor and their tax payments. In assessing opportunities to close the tax gap (taxes due but not reported or paid), one of the greatest opportunities comes from expanding information reporting on taxpayers by payors – using forms 1099. For 2020 the IRS has added another form – the 1099-NEC. This time-consuming reporting obligation can be streamlined in a number of ways. Join us to learn more…

Creating a culture of compliance is an important risk management strategy. Recent corporate collapses have reflected the need for good corporate governance and an effective compliance program is an integral part of this structure. This introduction to Compliance Management provides a blueprint for compliance professionals to follow to ensure that the risk profile in his/her organization is limited by a thorough understanding of the individual regulatory environment.

Attend this webinar to learn how to evaluate the trade compliance risk for your worldwide subsidiaries and how to ensure that your worldwide subsidiaries are adequately managing their trade compliance risk.

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.

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.