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Courses

  • 21 Request Info

    Ethics for the CIA, CPA, CFE and CISA - 2 CPEs

    Managing Your Ethics in the Professional Setting for the CPA, CIA, CFE and CISA. >Two hours of ethics training for the CIA, CPA, CFE and CISA to meet the annual CPE requirements. This event looks at "Ethics" from the from a number of perspectives: fraud examiner, investigator, auditor, accountant, attorney or business owner. Each professional group provides it's own code of conduct or set of professional ethics. This seminar explores how to manage professionals behavior within these guidelines. Ethics is the study of morality. "Managing Business Ethics" is concerned with business practices defining right and wrong behavior in the corporate environment. We frequently make ethical choices in business. How do we know that we are "doing the right thing"? The business professional should look at ethics, not merely as a personal choice, but the impact our choices have on the organization and its stakeholders.
  • 22 Request Info

    Conflict Resolution for Auditors - 4 CPEs

    Managing Conflicts within the Audit Function If you've managed to land in tranquil audit waters, then keep to the course you are on! But if, like the rest of audit professionals, your audit function has to steer through the turbulent rivers of difficult people, delicate relationships or out-and-out conflict, this event is for your benefit. Why? Because we need to improve our ability to change the entire organization's "tone of control" and manage risk. How? By conducting independent audits and issuing audit reports in a non-conflictual environment. Not everyone embraces us and our audits with "open arms". We may need to convince others that they need us. And we may need to minimize the conflict. This valuable presentation examines ways that auditors can promote a cooperative, transparent working relationship with our Audit clients.
  • 23 Request Info

    Activate Your Awesomeness - 1 CPEs

    Internal auditors are awesome people. This is something internal auditor do not hear in most business environments. Oftentimes we are called necessary evils, the group that bayonets the wounded, or those infurnal auditors. I could go on, but you get the point. Honing client interaction skills can significantly improve the effectiveness of audit engagements. Several years ago, after a tough audit engagement, a client called my team awesome. Then another. And another. Pretty soon, we started to believe we were actually awesome. However, we did not know what we were doing to create this perception. That is, until I asked. This session provides information gathered directly from clients on what can make auditors awesome. And surprisingly, it has less to do with...auditing. After attending this session, participants will be able to: -Describe 3 critical components to being awesome -Discover how to find your awesome attributes and apply them to auditing
  • 24 Request Info

    Every Auditor Should Know About IT - 2 CPEs

    How do you as an internal auditor really understand how information technology works? Information technology (IT) is an integral part of every organization. To remain relevant in your career, all auditors must have an understanding of IT theories and concepts. But becoming fluent in IT can be intimidating, especially for non IT auditors. The goal of this session is to help non IT and IT Auditors work better together by arming NON IT auditors with the knowledge to collaborate with the techies on the team. You will come to understand that all of information technology is very simple: -Input - The processing of input data to support a business objective -Process - The logic to take the input and validate it and accomplish a business objective -Output - The storing of data to support later use.
  • 25 Request Info

    Auditing Social Media - 2.5 CPEs

    How big of a risk is using Facebook, Twitter and Linkedin? Definition: A social media management audit is a series of steps taken to evaluate and optimize critical processes supporting the social media strategy. Performing a social media audit can help any organization to stay on top of its virtual presence. Conducting a social media audit is a key part of managing the operational risks within this social media driven world. You will hear sensible solutions to controlling the chaos that comes with social media connections. Social media needs to be managed properly with internal controls to reduce the inherent risks it creates. Completing a social media management audit answers several questions about the relationship between an organization and its virtual audience including: - Do policies align with and promote good practices? - Are the appropriate virtual assets being acquired? - Do processes adequately mitigate reputation risks? - Is access security adequate?
  • 26 Request Info

    Audit Sampling Techniques - 4 CPEs

    Are your standards really effective in using audit sampling for substantive and internal controls testing? Ensure Audit and Quality Testing Consistency. For auditors, choosing and applying the appropriate sampling method is crucial in performing an efficient and effective audit, quality assessment or control test. This event was developed to help the auditor, compliance assessor or quality tester in determining appropriate sample sizes, as well as selection and evaluation of samples in conjunction with performing auditing procedures. The focus of this session includes both nonstatistical methods and statistical sampling techniques. Also included are case studies to help the audit professional apply these methods and establish best practices.
  • 27 Request Info

    Ask, Get, Perform - 4 CPEs

    How do you really ask questions and get to the facts in the audit fieldwork interviewing process? Do you struggle with asking clients the right questions? Inquiry and observation are two of the most important internal auditing skills. The ability to ask appropriate questions is powerful. Curiosity is the cornerstone of internal auditing; it requires auditors to ask a lot of questions. Continuously questioning clients is difficult. This course provides the tools you will need to effectively ask questions. "Ask, Get, Perform: The Auditors Essential Guide to Asking Better Questions, Getting Better Answers, and Performing Better Audits" is a new book just published by the instructor of this CPE event, Robert Berry. You can get a copy of this book at Amazon. Often auditors know what to ask, but many struggle with how to ask and how to listen. This session is designed to arm auditors with the tools necessary to create and sustain effective client communications through questions.
  • 28 Request Info

    Active Listening for Auditors - 1 CPE

    How much do you really hear that your audit subjects are saying? People often confuse the physical act of hearing with the emotional art of listening. The modern educational system emphasizes speaking and writing, but does not teach the important skill of active listening. When you genuinely listen you show respect, create trust, and develop rapport. Listening is one of the most important skills an internal auditor can have. How well you listen has a major impact on your effectiveness as an auditor, and on the quality of your relationships with members of your team. Active listening also helps you: 1) identify and solve problems, 2) increase your knowledge and 3) avoid misunderstandings Various studies stress the importance of listening as an auditor skill. A typical study points out that professionals spend 70 to 80 percent of working hours in some form of communication. Of that time, professionals spend about 9% writing, 16% reading, 30% speaking, and 45% listening.
  • 29 Request Info

    Identity Issues in Banking - 2 CPEs

    Do you really understand the list of Federal regulations concerning identity issues? This webinar training helps attendees to understand the problems with 26 Red flags released by federal regulators in regards to identity fraud. The instructor will discuss how to create and implement the fraud control program and identity solutions to combat ID theft and reduce future losses. What is going on with regard to customer ID and the Equifax data breach? We now know this breach was must like a Chinese Army operation. Banks have been increasingly dependent on Credit Agencies' data to support their customer identity needs. After the data breach at Experian, fraudsters buying data on the Dark Web have access to the same credit report data that the bank does. Banks need to do some basic rethinking about customer and potential customer identity issues, and they need to do that quickly. This is going to require creative thinking, as there is no "solution" in a box on the shelf.
  • 30 Request Info

    Red Flags and High-Risk AML Transactions - 2 CPEs

    Anti-money laundering (AML) policies and procedures are a hot topic! Is your bank feeling pain from this intensifying regulatory requirement for the financial institution? Properly managing high-risk transactions is a basic requirement in the banking industry. This event is focused on helping the bank to avoid reporting failures which can lead to sanctions. This event covers both the identification and the management aspects of high-risk transactions within the financial institution. Much of the session we will discuss actual money laundering strategies and techniques. And for each, what are the Red Flags such activities should raise? Missing "Red Flags" indicating money laundering can take place at your bank. The failure to file a SARs has potential regulatory ramifications. This event looks at money laundering detection from a very different point of view. Most bankers will go their entire careers without uncovering a case of money laundering.
  • 31 Request Info

    FinCEN's CDD Rule - 2 CPEs

    Learn about the FinCIN CDD requirements and how to be fully compliant. These FinCIN requirements are extensive and involve research into entities few banks previously documented well within their client base. The U.S. Department of the Treasury's Financial Crimes Enforcement Network ("FinCEN") issued a final rule requiring the minimum standards for anti-money laundering programs for certain institutions lacking a Federal functional regulator. It is focused beyond the initial customer acceptance step, requiring updating and ongoing monitoring against baseline "normal" activity for the customer type. Until CDD became a requirement not many banks already complied with these requirements. Full compliance implementation is required on accounts opened on or after May 11, 2018.
  • 32 Request Info

    Employee Fraud at Banks - 2 CPEs

    Which industry has the most reported occupational fraud schemes? Banking!!! Banking organizations are increasingly threatened by employee fraud. In fact, employee fraud represents the majority of all fraud threats to a banking organization. Embezzlement, kickbacks, check fraud, financial statement fraud and vendor billing schemes are just a few of the countless economic crimes committed by employees and outsiders. And with the march of technology, new computer and Internet-driven schemes are being deployed by dishonest insiders all the time. This webinar will provide attendees with a strong foundation of practical knowledge about how common frauds are committed, how to detect the red flags of these crimes and how to eliminate control deficiencies that provide opportunities for dishonest employees.
  • 33 Request Info

    Banking Compliance Failures - 2 CPEs

    The level of fines levied against banks resulting from failure to comply with various regulations has soared, reaching into the billions of dollars in individual instances. Every bank organization is responsible for compliance with a wide variety of regulations. Compliance failures are risks to both the bank's reputation and its stockholders. There is an increasing discussion that, rather than punish stockholders, individual officers should be personally held accountable for their decisions in causing failures to act in compliance. Already the Sarbanes-Oxley law specifically requires that companies, including banks, have accurate financial reports as well as sound controls which are required to assure the material accuracy of those reports. CEOs and CFOs have to personally sign statements to that effect and can be charged personally under some circumstances.
  • 34 Request Info

    Banking Best Practices to Prevent Fraud - 2 CPEs

    This event takes a hard look at preventing fraud in the retail banking organization. It gives you an execelant overview of a bank organization's best practices to prevent fraud. Attend to improve the anti-fraud efforts at your institution. Fraud is of more concern to banking leaders today than ever before. These concerns are driven by national media coverage, social media reports, actual dollar losses, the attack on trust (which is key to customer relationships), costs to allay customer concerns, changing regulatory environment, and changes in how fraud efforts are being organized. Fraud is no longer just a "cottage industry", it is moving to an industrial model where specialists steal data and sell it to others who organize high-volume attacks by multiple perpetrators. Banks cannot combat the "Fraud Industry" with yesterday's methods.
  • 35 Request Info

    AML/BSA Basics and Compliance - 2 CPEs

    Money laundering continues to be a national concern. High levels of drug-related activity and violence have drawn additional attention. Terrorist activities need to be considered as well. Perpetrators have adapted to a banks' efforts so that banks cannot combat the money laundering with yesterday's methods. Software is widely installed to identify specific patterns and "unusual" transactions. But the fraudsters know this and are constantly striving to create new patterns where their transactions are designed not to be flagged. Like in a game of chess, the advantage goes to the side that thinks the most moves ahead. FinCEN has issued substantial new AML requirements focused on a major expansion of Know Your Customer into what is now Customer Due Diligence, CDD. The requirements go far beyond the basic knowledge of the Customer Legal Entity to the Beneficial Owner of that entity and its Controlling Persons. The requirements force the bank to focus beyond initial acceptance.
  • 36 Request Info

    Effective NAIC MAR Programs - 16 CPEs

    This CPE course is focused on how to address Model Audit Rule (MAR) annual ICFR assessment and triennial enterprise risk management evaluation using the COSO frameworks (COSO 2013 and COSO ERM) and COBIT. This 16 CPE in-person event is designed for compliance managers, controllers, CFOs and others who have the responsibility for the insurance organization's internal control framework used in the NAIC Model Audit Rule compliance efforts. Reference is made to the various exhibits in the Financial Condition Examiners Handbook which drive the examination of compliance activities. Learn how to comply using a cost effective approach to address your compliance needs under the NAIC Model Audit Rule (MAR) requirements. These requirements concern both the annual filings but also the Insurance Commissioner's approach using the Financial Condition Examiners Handbook for the triennial exams. Each attendee will have access to a set of 55 documents that were used to create the workshop.
  • 37 Request Info

    Effective Use of the COSO Framework - 16 CPEs

    Our approach for this training event is to provide the relevant information which internal control professionals will need to fulfill the "Internal Control Life Cycle" using the "top-down, risk-based" approach. We provide the background knowledge sources, advice on how to conduct risk assessments, discuss scoping, and review how to plan the assessment of an internal control framework based on COSO. Risk management activities are the key process to determine the requirement of the ICFR assessment program. The program deliverables should lead to management's opining on the status of the internal control framework in reference to the SOX requirements. This sixteen hour CPE course provides the internal control professional with the tradecraft skills to implement a compliance program that is consistent with COSO 2013 and Sarbanes-Oxley compliance: . Introduction - Thoughts on Quality - SEC ICFR Reporting . Internal Control Concepts and Challenges . COSO and COBIT Internal Control Framewor
  • 38 Request Info

    ITGC's Audit Planning Thru Reporting - 16 CPEs

    Are your ITGC audits really helping to reduce your cybersecurity risks? This CPE event is designed for the financial auditor and IT auditor who need to improve their practical knowledge covering information technology general controls (ITGC). The attendees are walked through the concepts and frameworks that are important to the ITGC internal audit activities in order to create an added value for their organizations. Are you ready to plan and execute audits concerning ITGCs? ITGCs are one of the weak links in most organizations internal control framework. They apply to all systems environments, components, processes, and data, and can be relevant to practically any internal audit project. This timely, two day CPE internal audit training event is designed for internal auditors with 2-10 years' experience who want to learn the concepts, tools, and techniques to enhance their effectiveness concerning information technology audits.
  • 39 Request Info

    Forensic & Investigative Accounting - 24 CPEs

    Forensic accounting is a specialty practice area where accounting, auditing and investigative skills are used to analyze and present information that is suitable for use in a court of law. Topics covered include fraud detection and fraud investigation techniques, valuation of closely held businesses, lost profits analyses, and various types of litigation support services. Fundamental legal concepts governing expert witness testimony are also examined, and students are required to quantify economic damages in cases. By the end of the course students are able to understand both the extensiveness and the causes of fraud and administrative crime in our society, examine the types of fraud and fraud schemes that affect business enterprises, explore methods of fraud detection and prevention, and increase their ability to recognize potential fraudulent situations. This CPE Event provides an in depth look at the concepts along with the techniques and processes used by forensic accountants.
  • 40 Request Info

    Being an Audit Leader - 24 CPEs

    Are your audit leadership skills working to get the job done? This event is focused on helping attendees in mastering the skills necessary to efficiently lead audit teams. This course provides new leaders with the tools needed to effectively lead audit teams, while exploring the life cycle of an audit from an audit leader's perspective. "This course is not just for auditors or new audit leaders, it is for anyone who wants an understanding of the relationship between business objectives, risk, control, assessment and reporting." During this course, you will examine and practice the skills needed to lead by learning how to supervise and develop an audit team, manage change, and effectively manage relationships with not only your team, but also with the CAE, executive management, and the audit committee. This course is designed for internal auditors with 2-10 years of experience who want to learn the concepts, tools, and techniques to enhance their effectiveness as an audit manager.