Webinars

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

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

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

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

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.
BSA Training - Tips & Tools

BSA Training - Tips & Tools

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.
Keys to Effective Risk Data Aggregation and Risk Reporting

Keys to Effective Risk Data Aggregation and Risk Reporting

Attend this webinar to learn how to create and establish methodologies for gathering data, aggregating data, and for presenting results of data analysis. Also, get updated on the latest from financial regulators, Enterprise Risk think tanks and be introduced to best practices.
Anti-Fraud Controls in Payroll: Prevent Before It's Too Late

Anti-Fraud Controls in Payroll: Prevent Before It's Too Late

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.
BSA/ AML - Following the Money, the Difference between Money Laundering and Terrorist Financing and How to Combat Both

BSA/ AML - Following the Money, the Difference between Money Laundering and Terrorist Financing and How to Combat Both

This AML training will provide you the tools to identify the differences between money laundering and terrorist financing and how to protect your financial institute against potential criminal activity. It will also highlight the complexities of modern day proactive compliance departments.
Red Flags and EDD for Non-Bank Financial Institutions

Red Flags and EDD for Non-Bank Financial Institutions

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).
"Front-End, Middle, and Back-End" Approach to Credit Management

"Front-End, Middle, and Back-End" Approach to Credit Management

This credit management webinar will discuss the credit analysis process, how to do financial statement analysis and how to do effective cash management using various tools and techniques and how to use various collection techniques (manage legal issues and using negotiation skills) and overall how to manage the collection process.
Accelerate Data Base Analysis with Excel's Pivot Tables

Accelerate Data Base Analysis with Excel's Pivot Tables

In this webinar, learn to create flexible data queries that refresh when the data does. Create, then Pivot your report to fit your needs, filter your report with Excel’s Slicer tool, Target production delays, efficiency gains, scrap rates, key demographics and so much more from your data, Learn how the gurus in your organization analyze their data so quickly and become one too!
BSA/AML Contextual Awareness of High Risk Customers

BSA/AML Contextual Awareness of High Risk Customers

This webinar will highlight the steps to identify and evaluate high-risk customers. Learn how to perform BSA, AML risk assessments.
1099 & W-9 Update - Complying with IRS Information Reporting Guidelines

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

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.
Personal and Business Tax Returns Analysis - 1040 Federal Tax Returns, K-1 Forms and Tax Code Updates

Personal and Business Tax Returns Analysis - 1040 Federal Tax Returns, K-1 Forms and Tax Code Updates

This personal and business tax returns analysis training program will focus on key areas such as 1040 federal tax returns, K-1 forms, and tax code updates and how they affect bank’s clients. It will also discuss the structure of a C corporation, S corporation, and Partnership (including LLC) tax return.
Teaching your Front-line How to Ask BSA Questions?

Teaching your Front-line How to Ask BSA Questions?

This Bank Secrecy Act training will explain how to train your frontline staff to ask BSA questions. It will cover Currency Transaction Report (CTR), Monetary Instrument Log (MIL) and Suspicious Activity Report (SAR) scenarios and questions and much more.
Adjustable Rate Mortgage (ARM) Rule

Adjustable Rate Mortgage (ARM) Rule

This ARM training program will discuss the definition of “rural and underserved.” It will also discuss how that impacts your institution and considerations to be taken into account when establishing an ARM program. Attendees will gain an understanding of the documents needed to make an ARM program work.
Managing the Alert/Case Clearing Investigation Process - BSA/AML/OFAC Compliance

Managing the Alert/Case Clearing Investigation Process - BSA/AML/OFAC Compliance

This webinar will discuss the current “industry best practice” for the alert/case management investigation process, and any guidance from the regulators. The instructor will cover a sample methodology meant to demonstrate what your institution may be doing, and opportunities to improve it. Participants will understand about the rules/scenarios thresholds that are leading to alerts/cases. It will help you answer
  • What is your escalation process?
  • What policies guide your investigation process?
  • What policies dictate when you file an alert/case?

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