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Home › Online Training ›  Banking & Financial Services Training

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

Sub Categories: Banks and Credit Unions | Accounting and Taxation | Insurance | Financial Services and Trading
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The Alarming State of Wire Transfer Fraud
20
/ Feb
Wednesday-2019

The Alarming State of Wire Transfer Fraud

  • Speaker: Rayleen M Pirnie
  • Product ID: 705070
  • Duration: 90 Min
Wire transfer fraud has often rendered businesses and financial institutions helpless despite their best efforts to combat the threat. This training program will identify the red flags of common forms of wire transfer fraud and help understand how you can isolate your organization and help combat fraud. The webinar instructor will also review sound risk assessment practices to help minimize exposure.
* Per Attendee
$199
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Travel and Expense Policy Development and Automation
22
/ Feb
Friday-2019

Travel and Expense Policy Development and Automation

  • Speaker: Brian G Rosenberg
  • Product ID: 704880
  • Duration: 60 Min
In this webinar training, you will learn how to create, maintain, and enforce a T&E policy for your organization. The Instructors will discuss the key components and best practices for policies.
* Per Attendee
$179
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Ensuring Compliance in Anti-Money Laundering (AML) / Know Your Customer (KYC)
25
/ Feb
Monday-2019

Ensuring Compliance in Anti-Money Laundering (AML) / Know Your Customer (KYC)

  • Speaker: Michael Tyler
  • Product ID: 705944
  • Duration: 60 Min
This program will help attendees understand the background to today’s AML and KYC compliance requirements; become familiar with the different aspects of Money Laundering; and be aware of the obligations of employees concerning AML and KYC.
* Per Attendee
$149
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Form 941 for 2019: All You Need to Know
26
/ Feb
Tuesday-2019

Form 941 for 2019: All You Need to Know

  • Speaker: Vicki M. Lambert
  • Product ID: 703804
  • Duration: 90 Min
This webinar will review the IRS Form 941 and its accompanying Form Schedule B for 2019. It will discuss what is new for the form in 2019 and will detail the requirements for completing each form. The webinar instructor will specify filing requirements and offer tips on reconciling and balancing the two forms. The webinar also covers the forms used to amend or correct the returns.
* Per Attendee
$249
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Payments Fraud: Detect and Prevent Check, ACH and P-Card Schemes
26
/ Feb
Tuesday-2019

Payments Fraud: Detect and Prevent Check, ACH and P-Card Schemes

  • Speaker: Peter Goldmann
  • Product ID: 704774
  • Duration: 90 Min
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.
* Per Attendee
$199
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Red Flags of Money Laundering
26
/ Feb
Tuesday-2019

Red Flags of Money Laundering

  • Speaker: William Schlameuss
  • Product ID: 703417
  • Duration: 60 Min
This webinar will explain what money laundering is, various types of money laundering including structuring, micro-structuring and cuckoo smurfing. Attendees will learn how to identify the red flags of money laundering in an account within your institution.
* Per Attendee
$199
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CDD Rules Update: Where Are You Now?
27
/ Feb
Wednesday-2019

CDD Rules Update: Where Are You Now?

  • Speaker: Armen Khachadourian
  • Product ID: 705539
  • Duration: 90 Min
This webinar will help attendees understand how to implement and maintain risk-based procedures to conduct ongoing customer due diligence (CDD), including understanding the nature and purpose of customer relationships, conducting ongoing monitoring to identify and report suspicious transactions, and maintaining and updating customer information.
* Per Attendee
$199
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SR Letter 11-7 - Supervisory Guidance on Model Risk Management
28
/ Feb
Thursday-2019

SR Letter 11-7 - Supervisory Guidance on Model Risk Management

  • Speaker: Mario Mosse
  • Product ID: 703995
  • Duration: 90 Min
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.
* Per Attendee
$199
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Mortgage Servicing Compliance: Meeting Extensive New Regulatory Expectations
28
/ Feb
Thursday-2019

Mortgage Servicing Compliance: Meeting Extensive New Regulatory Expectations

  • Speaker: Craig M Taggart
  • Product ID: 704480
  • Duration: 90 Min
This training program will discuss Fair Debt Collection Practices Act (FDCPA) rules, ARM (adjustable rate mortgage) change notification requirements, dealing with partial payments, providing payoff statements, and more.
* Per Attendee
$199
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Developing an Effective Fraud Risk Management Program
4
/ Mar
Monday-2019

Developing an Effective Fraud Risk Management Program

  • Speaker: Craig M Taggart
  • Product ID: 703862
  • Duration: 90 Min
The risk of fraud is just one of the many types of risks to be managed by an organization. But to let this risk fall out of focus can bring catastrophic results. Building an effective fraud risk management program to combat organizational fraud requires solid understanding of how and why fraud is perpetrated. This course will discuss the components of a fraudulent act, different types of fraud schemes and the impact fraud has on organizations. It will also analyze why individuals commit fraud and why the threat of punishment alone doesn’t deter potential fraudsters.
* Per Attendee
$199
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Writing an Effective SAR Narrative
5
/ Mar
Tuesday-2019

Writing an Effective SAR Narrative

  • Speaker: Doug Keipper
  • Product ID: 702993
  • Duration: 60 Min
This BSA compliance training on Suspicious Activity Reporting (SAR) will provide details on how to prepare a SAR (Suspicious Activity Reporting) narrative that meets examiner scrutiny and provides necessary detail for law enforcement.
* Per Attendee
$149
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Form W-4 for 2019: Best Practice and Compliance Requirements
7
/ Mar
Thursday-2019

Form W-4 for 2019: Best Practice and Compliance Requirements

  • Speaker: Vicki M. Lambert
  • Product ID: 703858
  • Duration: 90 Min
This webinar covers the IRS Form W-4 for 2019 including the requirements for completing the form properly, handling non-resident aliens, state equivalent forms, record retention and processing the form electronically instead of on paper. We also cover the changes to the 2019 form caused by the Tax Cuts and Jobs Act and give information on the related anticipated changes to Form W-4 for 2020. We will also discuss best practices for processing more efficiently within the department.
* Per Attendee
$229
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Stress Testing and Capital Adequacy - Understanding the Programs, Rules and Issues
8
/ Mar
Friday-2019

Stress Testing and Capital Adequacy - Understanding the Programs, Rules and Issues

  • Speaker: Michael Tyler
  • Product ID: 705956
  • Duration: 60 Min
This program will help attendees to understand the CCAR (Comprehensive Capital Analysis and Review) Program and the OCC’s DFAST Program (Dodd Frank Act Stress Test) work in practice and become familiar with the main concepts and methods of Capital Adequacy and Stress Test processes. And also attendees will learn the real Capital Adequacy and Stress Test situations that have arisen; and the decisions that had to made concerning them; and how certain key difficulties were resolved.
* Per Attendee
$149
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Preparing for a BSA/OFAC Regulatory Examination
12
/ Mar
Tuesday-2019

Preparing for a BSA/OFAC Regulatory Examination

  • Speaker: Vicki Landon
  • Product ID: 703554
  • Duration: 60 Min
This webinar will address steps a company can take in advance to optimize the progress of a BSA/OFAC regulatory examination. It will provide guidelines for positively and accurately representing your AML and OFAC programs to regulators for the most efficacious outcome.
* Per Attendee
$149
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Sales and Use Tax - Economic Nexus in Light of the SCOTUS Wayfair Decision
12
/ Mar
Tuesday-2019

Sales and Use Tax - Economic Nexus in Light of the SCOTUS Wayfair Decision

  • Speaker: Miles Hutchinson
  • Product ID: 705905
  • Duration: 90 Min
In this tax compliance webinar attendees will learn the different ways your company triggers nexus on itself and what it must do to comply with the state regulations.
* Per Attendee
$199
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Recorded/CD
EDD what are the auditors looking for?

EDD what are the auditors looking for?

  • Speaker: Vicki Landon
  • Product ID: 703455
  • Duration: 90 Min
This webinar will explain the concept of Enhanced Due Diligence (EDD), including EDD time tables and checklist. Attendees will learn how to conduct Enhanced Due Diligence (EDD) that will satisfy the auditors.
CD/Recorded
$249
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Recorded/CD
FATCA - The Foreign Accounts Tax Compliance Act

FATCA - The Foreign Accounts Tax Compliance Act

  • Speaker: Miles Hutchinson
  • Product ID: 703242
  • Duration: 90 Min
This training on Foreign Accounts Tax Compliance Act will teach the attendees best practices to ensure compliance with FATCA. Learn how to comply with your withholding and reporting obligations.
CD/Recorded
$249
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Recorded/CD
FinCEN Final Rule on Customer Due Diligence Requirements | BSA/AML Policy, CIP Procedure

FinCEN Final Rule on Customer Due Diligence Requirements | BSA/AML Policy, CIP Procedure

  • Speaker: Gina Lowdermilk
  • Product ID: 704927
  • Duration: 60 Min
This webinar will explain the requirements of the CDD Rule and its implications. The instructor will help Interpreting key definitions and type of information your institution will need to obtain from customers. He will also discuss how to identify potential changes/updates you may need to make to your BSA Policy, including CIP procedures, and account opening processes. Participants will gain understanding on recordkeeping requirements and understand the kinds of training the new rule requirements will necessitate.
CD/Recorded
$249
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Recorded/CD
Recurring Deficiencies in Compilations and Reviews and How to Avoid Them - SSARS Procedures, Reports and Accounting Matters

Recurring Deficiencies in Compilations and Reviews and How to Avoid Them - SSARS Procedures, Reports and Accounting Matters

  • Speaker: Candace Leuck
  • Product ID: 704538
  • Duration: 90 Min
This webinar will discuss common deficiencies that are discovered in compilation and review engagements, as a result of peer review. It will explain the difference between minor deficiencies and major deficiencies. Instructor will discuss how to avoid these common mistakes and what the most common deficiencies are.
CD/Recorded
$249
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Recorded/CD
Implementing P-Card Policies, Procedures, and Internal Controls Best Practices

Implementing P-Card Policies, Procedures, and Internal Controls Best Practices

  • Speaker: Chris Doxey
  • Product ID: 703920
  • Duration: 60 Min
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.
CD/Recorded
$249
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