Conducting Internal Fraud Investigations

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Presented by: Barry Thompson      
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   The most damaging moment for any financial institution executive is when they find out an internal embezzlement has taken place. It is even worse if you don't know who the thief is and you now have five suspects to investigate. If the financial institution hasn't decided in advance who will handle the investigation it may never find the criminal. In this program you will learn what you need to know to investigate or manage internal fraud cases and how to avoid embarrassing mistakes. This session provides you a blueprint on how to handle the investigation from start to finish. You will learn the warning signs of an internal fraud. We'll discuss what problems to expect from people who have no idea how an internal fraud investigation operates, and we'll ensure you understand what you need to review before you question a staff member about the internal embezzlement.

After the fraud is resolved, staff members will want answers about what has happened. This program ends by providing you suggestions on how to handle the aftermath of your investigation.

This program will cover:
  • Best practices that could provide staff with the tools and willingness to report a suspected internal fraud
  • Why people embezzle
  • The fraud triangle and what it means to you
  • Management deficiencies or events that signal potential internal fraud
  • Warning signs that a particular individual(s) might be involved with an internal embezzlement
  • Developing an action plan before an internal fraud is even suspected
  • Questions you need answered to resolve an embezzlement situation
  • Where to start your investigation if you are suspicious of a potential internal fraud
  • Who is most likely to discover an internal fraud and it isn't your internal auditor
  • How to handle people's emotions when an internal fraud case is discovered
  • When to retain an outside person to investigate an internal fraud
  • How to withdraw from an investigation when it is a member of your staff
  • Why you must expect the unexpected when investigating an internal fraud case
  • The steps you need to follow for a financial crime case
  • Preparation before interviewing staff - know where and when to interview a suspect
  • The interview, how to handle it properly
  • How to handle a person who confesses to the internal embezzlement
  • How to discuss this with staff after the incident occurs
  • Handling the long term implications of internal fraud
Who Should Attend:
Security officers, Risk Management staff, HR, Legal Counsel, Auditors, Branch Managers.

About the Speaker: Barry Thompson is an international speaker, trainer, consultant and writer who contributes to Bankers' Hotline and; he is also a special advisor to Bankers' Hotline. He is a security and compliance "guru" for and organizes security conferences for trade groups.

Barry is recognized as a speaker worldwide, presenting in Brussels, Belgium to European bankers on internal fraud; at the United Nations on identity theft; and to Japanese bankers on bank security. Barry has worked in the financial services industry for over three decades, and has held the positions of security officer, compliance officer, treasurer, senior vice president, and executive vice president. He has handled over 900 security cases and has been involved with investigations and prosecutions at federal, state and local levels.

This program was recorded in its entirety in June 2016. The CD-ROM includes program slides, materials (if available) and follow-up Q & A document.

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  • Model: cd_internalfraud0716
  • Manufactured by: Glia Group, Inc.

This product was added to our catalog on Wednesday 16 December, 2015.

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