On-Demand Training Courses for
Risk Management & Regulatory Compliance
Criminal Tax Exposure: Defense Strategies for Financial Professionals
Course Description
This advanced training session led by Michael DeBlis, explores the critical juncture where civil tax audits evolve into criminal investigations—an area fraught with risk for financial professionals, tax advisors, and legal counsel. Attendees will gain insight into how to detect early red flags in so-called “eggshell” and “reverse eggshell” audits, understand the role of IRS Criminal Investigation (CI), and develop practical strategies to protect clients and organizations.
The course also addresses the tactical use of Kovel arrangements to extend privilege to non-lawyer professionals and outlines how to prepare for parallel civil and criminal proceedings. This training is essential for professionals involved in tax planning, audit defense, or financial crime compliance.
Agenda:
Identifying warning signs in “eggshell” and “reverse eggshell” audits
Understanding the role and authority of IRS Criminal Investigation (CI)
Strategies to minimize risk during civil audits that may turn criminal
Leveraging Kovel arrangements to protect communications and analysis
Preparing for and managing parallel civil and criminal proceedings
Instructor: Michael DeBlis
Making Monitoring Matter: Building a Risk-Based Second Line That Delivers
Course Description
A second line of defense should do more than check boxes. This session focuses on how to design a second-line monitoring and testing program that’s risk-based, targeted, and useful. We’ll go over how to prioritize reviews, how to communicate findings, and how to ensure issues are tracked through remediation. The training is aimed at institutions looking to increase the value of their compliance oversight while keeping examiners confident in their governance model.
Agenda
Define the purpose and value of second-line monitoring beyond regulatory checklists.
Learn how to prioritize monitoring activities based on risk and business impact.
Explore how to scope reviews that are targeted, efficient, and aligned with your risk appetite.
Understand how to communicate findings clearly to the first line and senior leadership.
Discuss how to track, escalate, and validate remediation efforts effectively.
Review what examiners expect from a second-line program and how to demonstrate program strength.
Fraud: Creating a fraud program and implementing it for your institution
Description:
Feeling vulnerable when it comes to staying on top of the latest scams and schemes? You're not alone - new risks are hurled at financial services each and every day! It's impossible in 2025 to check news from any source without reports of skyrocketing fraud and financial crime.
Whether from traditional sources like robbery, check fraud, or identity theft, or from innovative cybercrimes that infiltrate your bank systems without being seen or heard, today's fraudsters are taking things to a whole new level! During this webinar, we will discuss an overview of fraud, the different types and how to create and maintain a fraud prevention program.
Agenda:
Overview of current fraud trends impacting financial institutions
Traditional vs. emerging types of fraud, including cyber-enabled schemes
Key components of an effective fraud prevention program
Best practices for detecting and responding to fraud threats
Strategies for maintaining a strong and adaptable fraud framework
Instructor: Justin Muscolino
Conducting KYC, CIP, CDD, EDD for High-risk areas/ financial institutions
Course Description
This training provides a practical overview of Know Your Customer (KYC), Customer Identification Program (CIP), Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD) processes for high-risk customers and businesses.
Participants will learn how to identify, assess, and manage elevated risk profiles in accordance with regulatory requirements. The session covers red flags, documentation expectations, and best practices for mitigating financial crime risks associated with high-risk individuals and entities.
Agenda:
Overview of KYC, CIP, CDD, and EDD requirements and objectives
Identifying and assessing high-risk customer profiles
Red flags and warning signs of suspicious activity
Documentation standards and regulatory expectations
Best practices for ongoing monitoring and risk mitigation
Instructor: Justin Muscolino
Crypto Investigations: What Triggers an Investigation + How to Build a Criminal Case
Course Description
This training session takes a behind-the-scenes look at how crypto investigations unfold—from the initial trigger to building a case that can stand up in court. Participants will learn what types of activity raise red flags with regulators and law enforcement, how investigators trace transactions on the blockchain, and what evidence is needed to support enforcement actions or criminal prosecution.
Through real-world examples and practical insights, this course helps compliance professionals, fintechs, and VASPs better understand how their monitoring and reporting efforts support larger investigative goals.
A must-attend for anyone involved in crypto compliance, fraud detection, or law enforcement collaboration.
Agenda
Common triggers that launch crypto investigations
Red flags that attract regulatory and law enforcement attention
Methods for tracing crypto transactions on the blockchain
Key evidence needed to support enforcement actions and prosecutions
How compliance efforts contribute to successful investigations and case-building
Instructor: Lourdes Miranda
Introduction to Anti-Money Laundering for High-risk
Course Description
Money laundering is a global issue that evolves as criminals find new ways to clean illicit funds. In high-risk sectors, these activities are particularly complex, involving three phases to conceal the source of the money. Illicit funds often stem from drug trafficking, theft, organized crime, embezzlement, bribery, and corruption.
Anti-money laundering (AML) laws target these crimes, including market manipulation, illegal trade, public fund corruption, and tax evasion. This training will focus on the unique risks high-risk areas face and the regulations aimed at combating money laundering in these areas.
Agenda:
Understanding the three phases of money laundering
Common sources of illicit funds in high-risk sectors
Overview of key AML laws and enforcement priorities
Unique AML risks faced by high-risk industries
Regulatory expectations and strategies for effective compliance
Instructor: Justin Muscolino
Crypto Compliance: “The Other KYC…Know-Your-Criminal.”
Description:
This training session is tailored for compliance officers, financial crime investigators, regulators, and anyone seeking an understanding of crypto’s relevance to compliance—even if your organization doesn’t offer crypto products or services.
This session delves into the darker side of crypto compliance and examining how illicit actors exploit digital assets. Moving beyond traditional KYC’s focus on verifying customers, you’ll gain insight into how to think like a bad actor—“The Other KYC…Know-Your-Criminal™”—as well as identify emerging trends conducted by illicit actors—and how to implement controls to mitigate risks to safeguard your institution in an evolving digital asset landscape.
Agenda:
Why crypto compliance matters—even without offering crypto products
How illicit actors exploit digital assets and blockchain technology
Understanding “The Other KYC…Know-Your-Criminal™” approach
Emerging criminal trends in the crypto space
Implementing effective controls to mitigate crypto-related risks
Instructor: Lourdes Miranda
AML in 2025: Smarter Compliance with Fewer Resources
Course Description
Compliance expectations continue to rise, but staffing and budgets don’t always follow. This session focuses on where AML programs can find efficiencies without sacrificing effectiveness. We’ll look at ways to simplify onboarding, improve the quality of alerts, align monitoring tools to risk, and tighten up governance documentation. If your team is being asked to do more with less, this session will offer practical ways to keep your program on track.
Agenda
Streamlining Onboarding: Explore practical steps to reduce friction in customer onboarding while maintaining AML standards.
Improving Alert Quality: Learn how to fine-tune systems to reduce false positives and surface truly suspicious activity.
Risk-Aligned Monitoring: Align transaction monitoring tools with your institution’s specific risk profile to boost efficiency.
Governance Simplified: Review key governance documents to ensure they’re concise, consistent, and examiner-ready.
Technology with Intention: Discuss how to evaluate and deploy AML tools that actually reduce workload, not increase it.
Maintaining Effectiveness with Less: Discover how to preserve program integrity even when facing resource constraints.
Fair Lending for High-risk Businesses
Course Description
This training provides a comprehensive overview of Fair Lending laws and how they apply specifically to high-risk businesses and customer segments. Discrimination in lending—whether overt, disparate treatment, or disparate impact—can lead to serious regulatory scrutiny and reputational harm.
This session will help participants recognize where fair lending risks commonly arise when working with high-risk entities, such as cash-intensive businesses, fintech partnerships, and customers operating in industries with elevated compliance expectations.
Through regulatory guidance, real-world scenarios, and actionable strategies, participants will gain the tools needed to detect potential issues, apply consistent standards, and document decisions to support fair outcomes. This is essential for institutions aiming to ensure equitable treatment while effectively managing risk.
Agenda
Overview of Fair Lending laws and key regulatory expectations
Identifying high-risk businesses and understanding elevated fair lending risk
Common pitfalls: disparate treatment, impact, and redlining risks
Strategies for consistent application of credit policies and procedures
Monitoring, documentation, and training to support a compliant fair lending program
Instructor: Justin Muscolino
Responding to IRS Summons and Grand Jury Subpoenas: What Financial Institutions and Professionals Must Know
Course Description
Financial institutions, fintechs, and advisory professionals increasingly face legal demands for information as the IRS and Department of Justice expand their enforcement reach. This session prepares professionals to effectively respond to IRS civil summonses and criminal grand jury subpoenas—two powerful tools used in tax and financial crime investigations.
The course explains the differences in scope, authority, and risk between these mechanisms and provides actionable guidance on document production, protecting privileged communications, and avoiding inadvertent waiver. Attendees will also learn when and how to escalate matters to legal counsel, and the potential consequences of cooperating too quickly—or not at all.
Agenda:
Differences between IRS civil summonses and DOJ grand jury subpoenas
Key risks and responsibilities when responding to legal demands
How to protect privileged communications and avoid waiver
Practical steps for collecting and producing documents appropriately
When to escalate to legal counsel and how to manage government interaction
Instructor: Michael DeBlis
Introduction to the Bank Secrecy Act (BSA)
Course Description
The Bank Secrecy Act (BSA) is a US law that fights money laundering and other financial crimes. BSA requires businesses to keep records and file reports that are determined to have a high degree of usefulness in criminal, tax, and regulatory matters. Individuals and financial institutions who fail to comply with BSA requirements may face severe penalties and, for more serious offenses, prison sentences. BSA rules and regulations must be followed by financial institutions.
Although financial institutions have been managing BSA operations in accordance with regulatory requirements, the shift to BSA audits has become increasingly important. During this webinar, we will discuss an overview of BSA, the reporting requirements, when and how to report and best tips for submitting and completing BSA reports.
Agenda:
Overview of the Bank Secrecy Act and its role in fighting financial crime
Key reporting and recordkeeping obligations under BSA
Common penalties for noncompliance and enforcement trends
When and how to file BSA reports effectively
Practical tips for improving BSA reporting and audit readiness
Instructor: Justin Muscolino
IRS Investigative Tools: How the Government Builds Financial Crime Cases
Course Description
The IRS possesses powerful investigative tools that go beyond traditional tax enforcement and are often used in financial crime cases involving fraud, money laundering, and asset concealment. This course, led by Michael DeBlis, provides an in-depth look at how IRS Criminal Investigation (CI) develops cases and the methods it uses to gather evidence.
Financial professionals, compliance teams, and legal advisors will learn to recognize the scope and limitations of administrative summonses, understand the growing role of international cooperation through MLATs, and anticipate how digital footprints and financial records are used to build cases. The session also explores the concept of willfulness and how it is interpreted in enforcement actions.
Agenda:
Overview of IRS Criminal Investigation (CI) and its role in financial crime enforcement
How administrative summonses are used—and their limitations
The role of international cooperation and Mutual Legal Assistance Treaties (MLATs)
Leveraging digital footprints and financial records to build cases
Understanding the concept of willfulness and its significance in prosecutions
Instructor: Michael DeBlis