ComplianceOnline

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

Purchasing Cards: Overcoming Risks and Creating an Effective Program
17
/ Apr
Wednesday-2019

Purchasing Cards: Overcoming Risks and Creating an Effective Program

  • Speaker: Brian G Rosenberg
  • Product ID: 704467
  • Duration: 60 Min
This training program will detail the components of a successful purchasing card program. It will also discuss implementing proper purchasing card controls, types of risk including fraud and misuse, auditing techniques, and more.
* Per Attendee
$199
1099 & W-9 Update - Complying with IRS Information Reporting Guidelines
18
/ Apr
Thursday-2019

1099 & W-9 Update - Complying with IRS Information Reporting Guidelines

  • Speaker: Miles Hutchinson
  • Product ID: 703220
  • Duration: 90 Min
This IRS regulatory compliance training will focus on the rules requiring W-9 documentation and 1099 reporting. Attendees will learn the best practices to ensure compliance with IRS and avoid B-Notices.
* Per Attendee
$199
Sarbanes-Oxley Act Section 404: How to Establish an Effective Internal Controls System
18
/ Apr
Thursday-2019

Sarbanes-Oxley Act Section 404: How to Establish an Effective Internal Controls System

  • Speaker: David Sanders
  • Product ID: 704395
  • Duration: 90 Min
This webinar will enhance your knowledge of SOX Section 404 (Sarbanes-Oxley Act Section 404) by helping you understand the elements of an internal controls system. Internal controls are a key part of any organization's continued growth, performance and success. With fraud at an all-time high, a well-designed internal control structure will enhance operations by improving your department's overall security and effectiveness. SOX Section 404 mandates that all publicly-traded companies must establish internal controls and procedures for financial reporting and must document, test and maintain those controls and procedures to ensure their effectiveness.
* Per Attendee
$199
Multistate Taxation - Fundamentals and Best Practices for Handling Multistate employees
19
/ Apr
Friday-2019

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.
* Per Attendee
$199
Credit Risk Discipline Tools - Implementing 14 Tools for Credit Risk Management
23
/ Apr
Tuesday-2019

Credit Risk Discipline Tools - Implementing 14 Tools for Credit Risk Management

  • Speaker: Dev Strischek
  • Product ID: 705882
  • Duration: 60 Min
This webinar will help you to build, implement, and maintain strong credit culture. This course offers 14 tools to test and check the strength of the organization’s credit risk management and techniques for remediating and improving credit culture and credit risk management.
* Per Attendee
$149
Mortgage Advertising: Keeping Your Promotions Compliant
23
/ Apr
Tuesday-2019

Mortgage Advertising: Keeping Your Promotions Compliant

  • Speaker: Craig M Taggart
  • Product ID: 704542
  • Duration: 90 Min
This mortgage advertising training program will discuss special requirements applicable to HELOC advertisements with introductory and promotional rates and the new TILA/RESPA disclosure required for written estimates of terms or costs. It will also offer best practices for reviewing mortgage advertisements to reduce compliance and UDAAP risks and tips on using the "one-click rule" to advertise mortgage loans on websites and in social media.
Keys to Managing an Effective Internal Audit Function
24
/ Apr
Wednesday-2019

Keys to Managing an Effective Internal Audit Function

  • Speaker: Lynn Fountain
  • Product ID: 706029
  • Duration: 90 Min
Attend this webinar to learn the key competencies and responsibilities of today's internal audit management and methods for meeting the requirements of the internal audit profession. Also attendees will learn the aspects of internal audit frameworks and what challenges may arise when trying to implement processes.
* Per Attendee
$199
Enforcement Actions and how they can affect your Institution
24
/ Apr
Wednesday-2019

Enforcement Actions and how they can affect your Institution

  • Speaker: Thomas Nollner
  • Product ID: 705503
  • Duration: 60 Min
This webinar will review the regulatory history and background of the financial institution involved, the findings of the regulators and law enforcement during examinations and onsite reviews, the reasoning behind the enforcement actions, and the expectation of the regulators and law enforcement going forward. It will further discuss policy changes, procedure enhancements, and operational practices the financial institution could have taken to prevent the weaknesses that caused the enforcement action.
* Per Attendee
$199
BSA/AML, Case Studies From The Field
25
/ Apr
Thursday-2019

BSA/AML, Case Studies From The Field

  • Speaker: Doug Keipper
  • Product ID: 706048
  • Duration: 60 Min
This BSA/AML training is drawn on case studies of the last 15 years. This class will help drive the BSA officers and analysts to consider the who, what, why, where, when and how in their case studies. Most BSA officers and analysts are always curious as to how someone uncovered the activity. Was it a software alert or was it an employee referral? If a software alert, what are the parameters? If it was an employee referral, why did this suddenly get flagged? Attend this course to uncover the hallmark attributes of these case studies.
* Per Attendee
$199
Key Ratio Analysis - Calculating and Interpreting the Numbers Correctly
29
/ Apr
Monday-2019

Key Ratio Analysis - Calculating and Interpreting the Numbers Correctly

  • Speaker: David L Osburn
  • Product ID: 704967
  • Duration: 90 Min
This training program will provide financial professionals guidance on key ratio analysis. It will also detail a five-step analysis plan to calculate the key ratios covering liquidity, activity, leverage, operating performance, and cash flow analysis.
* Per Attendee
$199
AML/BSA Overview, Compliance, and Current Issues, including new CDD Requirements
30
/ Apr
Tuesday-2019

AML/BSA Overview, Compliance, and Current Issues, including new CDD Requirements

  • Speaker: Jim George
  • Product ID: 705827
  • Duration: 90 Min
This BSA/AML webinar will discuss various compliance requirements for AML - KYC, CTRs, SARs, new customer due-diligence process and various strategies which money launderers are using now and how to detect and thwart it.
* Per Attendee
$169
Handling Payroll Overpayments Correctly
2
/ May
Thursday-2019

Handling Payroll Overpayments Correctly

  • Speaker: Vicki M. Lambert
  • Product ID: 703942
  • Duration: 90 Min
This training program will examine the FLSA requirements on recouping overpayments including the 1998 opinion letter that spells out these requirements. It will also focus on issues such as exempt employee status, minimum wage and overtime rules for nonexempt employees must be considered when recovering overpayments from employees. Additionally, it will review the wage and hour laws of several states and the factors that determine if an overpayment can be recouped.
* Per Attendee
$199
AML Model Validation: A Critical Need in the New Regulatory Environment
2
/ May
Thursday-2019

AML Model Validation: A Critical Need in the New Regulatory Environment

  • Speaker: Dr. Frank Masi
  • Product ID: 704227
  • Duration: 60 Min
This training program will discuss the history and origin of a model validation. It will also discuss the requirements by the OCC for a model validation, and what exactly a model validation should include. The session will also analyze the elements of a model validation to know what to look for in an RFP, and detail the requirements included in Final Rule 504.
* Per Attendee
$199
TIN Matching and B Notices - How to Minimize the Paperwork from Complaints on IRS Information Returns
7
/ May
Tuesday-2019

TIN Matching and B Notices - How to Minimize the Paperwork from Complaints on IRS Information Returns

  • Speaker: Miles Hutchinson
  • Product ID: 703028
  • Duration: 90 Min
This IRS regulatory compliance training will explain the TIN matching system best practices to eliminate form 1099 reporting errors. It will also provide you the tools to effectively handle B- Notices in order to avoid fines and penalties.
* Per Attendee
$199
Procurement Cards (P-Cards) - Fraud Detection, Prevention, and Deterrence
7
/ May
Tuesday-2019

Procurement Cards (P-Cards) - Fraud Detection, Prevention, and Deterrence

  • Speaker: Chris Doxey
  • Product ID: 702646
  • Duration: 60 Min
This webinar on procurement cards fraud prevention will help you identify the ‘red flags' of P-Card fraud and will provide a practical internal controls toolkit that will help reduce the potential for fraud and mitigate risk within the process.
* Per Attendee
$199
Recorded/CD
Operational Risk Management Principles

Operational Risk Management Principles

  • Speaker: Stanley Epstein
  • Product ID: 706024
  • Duration: 90 Min
The purpose of this course is to provide attendees with a comprehensive demonstration of the operational risk management best practices in banks and other financial institutions.
Recorded/CD
Implementing Compensating Controls to Reduce Risk and Prevent Fraud

Implementing Compensating Controls to Reduce Risk and Prevent Fraud

  • Speaker: Chris Doxey
  • Product ID: 706021
  • Duration: 60 Min
Attend this webinar to learn about compensating controls with specific examples and what are the segregation of duties controls. You will also learn how to implement compensating controls to reduce risk and prevent fraud in your internal controls programs.
CD/Recorded
$249
Recorded/CD
Employee Expense Reimbursement Fraud: Schemes and Controls

Employee Expense Reimbursement Fraud: Schemes and Controls

  • Speaker: Peter Goldmann
  • Product ID: 702455
  • Duration: 60 Min
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.
CD/Recorded
$249
Recorded/CD
Red Flags and EDD for Non-Bank Financial Institutions

Red Flags and EDD for Non-Bank Financial Institutions

  • Speaker: Vicki Landon
  • Product ID: 703536
  • Duration: 60 Min
This webinar will address the red flags that may indicate money laundering and fraud in non-bank financial institutions. It will also provide guidelines for conducting enhanced due diligence (EDD).
CD/Recorded
$249
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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