Internal Audit and Controls Training - Live Webinars, Recordings & CDs

This training program will offer an in-depth look at three important product regulations focused on materials compliance and ethical sourcing, along with the tools and policies needed to implement them.

This webinar will go through every section of the revised FFIEC Bank Secrecy Act/Anti-Money Laundering Examination Manual to highlight changes and areas where banks should review their internal policies, processes and procedures for compliance. Understanding these changes will keep you prepared and updated for your next BSA/AML examination.

This webinar will instruct attendees on how to develop an internal audit manual and offer start to finish instructions and templates on how to perform different types of audits given the project description. Audit fieldwork, audit reporting and follow-up, work-paper filing, and project closure are some of the other areas the webinar will cover.

This BSA/AML (Bank Secrecy Act/ Anti Money Laundering) compliance training will help attendees understand, identify and mitigate the risks associated with high risk transactions.

Performing a corporate wide risk assessment is doable, and can provide internal audit and its organization a roadmap for the upcoming audit year. In this webinar, participants will learn how to maximize the time spent on the risk assessment process on an annual basis.

This training on BSA compliance will help you understand the concept of tax evasion and tax fraud and the difference between the two. Learn the best practices to identify tax fraud and how to report suspicious activity.

In this webinar attendees will gain an understanding of how to develop a practical tailored action plan for their own audit function. Whether you have been charged with establishing a risk audit framework for your organization, want to increase the effectiveness of the existing risk-based audit process or wish to benchmark against emerging best practice, this is the webinar for you.

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.

Skilled auditors require a method that aligns what they experienced during the reviewing process with what they compose during the writing process. This report writing workshop will provide foundation resources that participants can continually turn to during intense, complex audit engagements.

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.

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.

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 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.

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.

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.

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.

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.

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.

This webinar training on stress testing in financial institutions will depict scenarios, pitfalls to be avoided, and discuss how the choice of the right scenarios can provide good insight into strategic management of a financial institution.

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.