Conducting Investigations: A Beginner's Guide

With Barry Thompson

Conducting Investigations: A Beginner's Guide

With Barry Thompson
  • 1 Video
  • 3 PDFs
  • 2.0 hrs
Course description

We have designed this program specifically for the individual with little or no previous training in financial institution investigations. If you are new to this function, having worked in the area for less than three years or are newly assigned to the duties of conducting investigations this is the program for you.



This webinar has 6 main areas of study for attendees:

  1. Initial notification of an incident or case
    • How to conduct the initial interview.
    • The importance of active listening, remaining objective and protecting confidentiality.
    • Opening a case file and the potential use of case management software.
    • Determining what is important to note for your case file.
    • How to resign from a case involving an ethics problem for you.
  2. Research and evidence collection
    • How to design a plan for investigating the case.
    • Know the resources you can depend upon for help during the investigation.
    • Taking control of the evidence you need to prosecute the case civilly or criminally.
  3. Documentation
    • The importance of having staff document what they witnessed during or after an incident.
    • Learn what to document and what to exclude from your notes.
    • Understand that the case file will be provided to the opposing attorney by the legal process.
  4. Attorneys
    • Working with your lawyer.
    • Handling the sudden arrival or telephone call from the opposing attorney.
    • Know what to expect prosecuting criminally or civilly.
  5. Getting law enforcement to prosecute your case.
    • Developing what is needed by law enforcement to accept the case.
    • Know the proper law enforcement agency to contact for prosecution.
  6. Reporting back to the line of business
    • During your investigation you may discover improper procedures or problems with staff. This webinar will review how to handle these situations.

The basic question of every investigator is "what am I responsible for when conducting the investigation." You major responsibility is to gather information, evaluate the information and draw a conclusion after learning the "who, what, when, where and why" of the case. This will lead you to be able to make recommendations to operations on improvements needed to mitigate future losses.



The Objectives

  • This webinar will show you how to take control of your investigations
  • You will learn to work smarter -- not harder -- in preparing your investigations
  • This program provides you with vital insights when working with law enforcement
  • Outline the Basic Steps for Financial Investigations
  • Understand the Importance of Documentation and Evidence Collection
  • Learn how to handle the Pressure of the Investigation and Managements Reaction

Who Should Attend

  • Audit
  • Risk Management Officers
  • Security Officers
  • Anyone who conducts investigations for your financial institution

Course Curriculum

Video
119:43
Conducting Investigations: A Beginner's Guide
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Materials
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Instructor

Barry Thompson
Barry Thompson

Barry Thompson, the author of 101 Security Tips for the Beginning Security Officer, is known as “The Fraud Educator.” He has worked in the financial services industry for over three decades, holding the positions of security officer, compliance officer, treasurer, senior vice president, and executive vice president. He is the only fraud educator in his industry that has worked in senior management positions, which affords him unique insight into financial institutions.

Over the course of his career, Barry handled over 900 security cases. He has been involved with investigations and prosecutions on the federal, state, and local levels, and has testified before grand juries, county courts, bankruptcy courts, family courts, and the New York State Supreme Court.

As a security specialist for America’s Community Bankers*, Thompson was involved in all phases of organizing the National Operations, Technology and Security Conference, including designing and overseeing the conference’s security track, hiring conference speakers, and writing the conference manual.

Barry is an in-demand, internationally-recognized speaker where he has made fraud, theft, and security presentations to groups throughout the country, in Europe, and at the United Nations. Recognizing the increasing importance of compliance in the banking industry, he became a Certified Regulatory Compliance Manager in 1997.

Barry has attended prestigious schools held by the American Bankers Association and America’s Barry Thompson “The Fraud Educator” Biography Community Bankers*. Among them are the National Trust School, held at Northwestern University, the National Compliance School, held at the University of Oklahoma and Emory University, and the Investment School at Fairfield University.

He has put his knowledge and expertise to use as an instructor for both the Credit Union National Association’s Security Institute and the Tennessee Bankers Association’s Southeastern School of Banking held at Vanderbilt University.

Barry is also a writer who contributes to Bankers’ Hotline, bankersonline.com, and other industry publications. He is the security and compliance “guru” for bankersonline.com, and has been interviewed by Newsweek, Consumer Reports, and other national and regional publications.

Today, his firm focuses primarily on training at national and state conferences and conventions and in-house to banks and credit unions, from physical security to computer security. This includes in-depth instruction on identity theft, internal fraud, scams and schemes, conducting investigations, social media and bank robbery.

To date, he has trained more than 26,000 financial professionals—and growing.

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