Banking & Financial Compliance Banking & Financial Compliance Package

Banking & Financial Compliance Package

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This Package Contains Courses - See More
  • Course Delivery: On Demand
  • Duration: 79 
  • Language: English
  • Difficulty: Intermediate
  • Audience: Finance Professionals, Managers, Executives

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Package Features

  • 53 industry-specific courses
  • 100% online
  • Self-paced, mobile, and interactive
  • 24/7 customer support
 

Description

The myriad of regulations, disclosures, and issues is a major challenge for modern financial professionals. Employees & managers familiar with these requirements reduce the risk of fines and penalties pertaining to financial laws and regulations.

The Banking and Financial Compliance courses explore safety and precautionary measures for staying compliant with financial rules, as well as reporting risks and red flags for money laundering, insider trading, and other financial crimes. With these comprehensive courses, learners understand the ethical issues and challenges that professionals face in the banking and financial industries.

These courses cover Anti-Money Laundering and Financial Crime, Finance and Accounting, FINRA Compliance, and Insider Trading.

Who Should Take This Training Series?

  • Banking, Securities, International Trade, Government Contracting, and Insurance industry professionals.
  • Finance & Accounting, Import/Export, and Contracts & Purchasing departments
  • Supervisors, Managers, and Senior executives of publicly traded companies

The Following Courses Are Included In This Package:

Course Name Industry Course Delivery
Variable Annuities for Supervisors (Interactive) HR, Ethics & Compliance
Protecting Senior Investors (Interactive) HR, Ethics & Compliance
Anti-Money Laundering - General HR, Ethics & Compliance
Do Not Call & the Securities Industry HR, Ethics & Compliance
Wrap Fee Accounts (Interactive) HR, Ethics & Compliance
Municipal Securities: Sales Practices and Supervisory Requirements (Interactive) HR, Ethics & Compliance
Supervisory Controls and Procedures under NASD Rules 3010, 3012 and FINRA Rule 3130 (Interactive) HR, Ethics & Compliance
Gifts, Gratuities and Regulation (Interactive) HR, Ethics & Compliance
The Sarbanes-Oxley Act: An Auditor's Viewpoint (Compliance Snapshot) HR, Ethics & Compliance
Preventing Insider Trading: Laws, Compliance, Penalties (Compliance Snapshot) HR, Ethics & Compliance
The SEC's Books and Records Requirements - The Basics HR, Ethics & Compliance
Outside Business Activities: Regulation and Supervision (Interactive) HR, Ethics & Compliance
FINRA Communication Standards HR, Ethics & Compliance
Social Media in a Business Environment (Interactive) HR, Ethics & Compliance
Preventing Insider Trading: Introduction to Insider Trading (Compliance Snapshot) HR, Ethics & Compliance
Communication with the Public - Supervisory Level (Interactive) HR, Ethics & Compliance
Revenue Recognition: Rules and Standards HR, Ethics & Compliance
The Sarbanes-Oxley Act: The Executive Viewpoint (Compliance Snapshot) HR, Ethics & Compliance
The Sarbanes-Oxley Act: Impact on the Financial Industry (Compliance Snapshot) HR, Ethics & Compliance
Financial Reporting (Comprehensive Course) HR, Ethics & Compliance
The Dodd-Frank Wall Street Reform and Consumer Protection Act (Interactive) HR, Ethics & Compliance
Financial Reporting: Accuracy in Financial Reporting (Compliance Snapshot) HR, Ethics & Compliance
Private Placement Securities - Advanced HR, Ethics & Compliance
Introduction to Research Analysts: Rule 2711 and Professional Responsibility (Interactive) HR, Ethics & Compliance
Brokerage, Mutual Fund and Variable Product Sales Practices (Interactive) HR, Ethics & Compliance
Internal Control and Fraud Detection HR, Ethics & Compliance
Preventing Insider Trading (Comprehensive Course) HR, Ethics & Compliance
Communication with the Public for the Registered Rep (Interactive) HR, Ethics & Compliance
Understanding the Rules of FINRA (Interactive) HR, Ethics & Compliance
Financial Reporting: Whistleblowing (Compliance Snapshot) HR, Ethics & Compliance
Advertising - Financial Professionals (Interactive) HR, Ethics & Compliance
Variable Annuities: Advanced (Interactive) HR, Ethics & Compliance
Financial Reporting: Internal Controls over Financial Reporting (Compliance Snapshot) HR, Ethics & Compliance
The Sarbanes-Oxley Act (Comprehensive Course) HR, Ethics & Compliance
FINRA and Back Office Functions (Interactive) HR, Ethics & Compliance
Financial Reporting: Reliability in Financial Reporting (Compliance Snapshot) HR, Ethics & Compliance
Compliance Issues for Investment Bankers (Interactive) HR, Ethics & Compliance
Red Flags for Seniors (Interactive) HR, Ethics & Compliance
Understanding the Regulation of Electronic Communication (Interactive) HR, Ethics & Compliance
Compliance Issues for Investment Bankers (Interactive) HR, Ethics & Compliance
Anti-Money Laundering: Institutional Issues (Interactive) HR, Ethics & Compliance
Outside Business Activities (Interactive) HR, Ethics & Compliance
Variable Annuities – General (Interactive) HR, Ethics & Compliance
Unit Investment Trusts (Interactive) HR, Ethics & Compliance
Institutional Communication and Advertising HR, Ethics & Compliance
Vulnerable Clients: Identity Theft and Financial Exploitation (Interactive) HR, Ethics & Compliance
Advanced Supervision (Interactive) HR, Ethics & Compliance
The Sarbanes-Oxley Act: An Overview (Compliance Snapshot) HR, Ethics & Compliance
The Sarbanes-Oxley Act: The Executive Viewpoint (Compliance Spot) HR, Ethics & Compliance
Investment Risk and Policy HR, Ethics & Compliance
Options Communications Rules (Interactive) HR, Ethics & Compliance
Specialized Industry GAAP HR, Ethics & Compliance
Coping with SEC Rule 151A HR, Ethics & Compliance
 

Topics Covered

Anti-Money Laundering and Financial Crime

  • Anti-Money Laundering -  General
  • Anti-Money Laundering: Institutional Issues

Finance & Accounting

  • Compliance Issues for Investment Bankers
  • Financial Reporting
  • Internal Control and Fraud Detection
  • Investment Risk and Policy
  • The Sarbanes-Oxley Act
  • And more!

FINRA Compliance

  • FINRA and Back Office Functions
  • FINRA Communication Standards
  • Advertising – Financial Professionals
  • Brokerage, Mutual Fund and Variable Product Sales Practices
  • Communication with the Public for the Registered Rep
  • Understanding the Rules of FINRA
  • Introduction to Research Analysts: Rule 2711 and Professional Responsibility
  • Outside Business Activities

Insider Trading

  • Preventing Insider Trading
  • Preventing Insider Trading: Laws, Compliance, Penalties
 

Prerequisites

There are no pre-requisites for any module within this package

 

Subject Matter Expert

This course is created and brought to you by 360training, a leading provider of accredited e-learning courses to working professionals through today's leading schools, associations and corporations. 360training's high-quality e-learning courses assist thousands of working professionals in a wide range of disciplines, helping them to succeed in today's marketplace, to renew licenses, to acquire certification or to prepare for a new profession.

This course was created by the instructional design staff of 360training in connection with field professionals whose many years of experience in adult educational theory and distance learning technology make the process of certification, compliance and training as convenient, engaging and cost-effective as possible.

Got questions? Contact us below or call 877-881-2235

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1 Real Reviews From Actual Learners

Siti Masturah From Selangor, Malaysia Took Financial Reporting: Reliability in Financial Reporting (Compliance Snapshot), And Said:

a good method to be used

Posted 4 months ago