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Regulatory Compliance 101: What is regulatory compliance and why is it important?


Thu, June 17, 2021, 11:00 - 12:00


 General Information

Cost: Members: $95
Non-Members: $195

Register Now

Registration Includes: One telephone and web connection at one physical location


US: 11:00am – 12:00am ET
*Please remember the time zone differences if you are not on the East Coast.*


Accreditation Points

By participating in this webinar, you will have the opportunity to take a short quiz after the live event to earn CEUs toward your certification/recertification.


About the Webinar

Regulatory compliance helps you protect your business's resources and reputation. Trust takes time to build with customers, prospects and suppliers and is driven by an organization’s ethical behavior and dedication to the law.

During this regulatory compliance overview, you’ll learn the basic definitions and application of today’s requirements as well as how they apply to specific business processes. This webinar will provide insight into corporate compliance requirements defined by the Office of Foreign Asset Control (OFAC), Anti-Money Laundering (AML), Know Your Customer (KYC) and Politically Exposed Persons (PEP). Chris Doxey will review the drivers for these compliance requirements as well as screening best practices, and will present some current case studies in which companies ignored requirements.


About the Speaker

Craig SimpkinsChris Doxey, CAPP, CCSA, CICA, CPC, President, Doxey Inc., Paeonian Springs, VA

Chris Doxey is an author, speaker and management consultant who is passionate about improving financial processes. Chris focuses on internal controls, process transformation and automation. She has extensive experience with trade directories, metrics, analytics and self-audit tools.

Chris spent more than 25 years at Hewlett Packard and Verizon in senior P2P, logistics, and finance and accounting leadership positions. She held executive positions with global P2P audit firms for eight years. During her eight years of management consulting experience, Chris designed a new fiscal closing process for a large enterprise and implemented a self-audit tool for a global P2P audit firm. She developed the requirements for a trade directory and drove the implementation process for a global financial institution. As an example of her process transformation work, Chris worked with a large university to improve internal controls and implement automated account payable processes. She also develops educational content for several P2P solution providers.

Chris works with the risk cloud product team at Oracle where she developed the initial set of automated P2P controls and collaborates with the Oracle team on a frequent basis to discuss improvements. She is a long-time speaker at Oracle’s Open World conferences. She leads the risk advisory practice for an Oracle partner and supports the implementation of risk cloud for large enterprise clients. 

Chris is a certified accounts payable professional (CAPP) and holds a certification in controls self-assessments (CSA). She is a certified professional controller (CPC) and a certified internal controls auditor (CICA). Chris holds a BA, BS, MBA and a graduate certificate in project management. Chris is a member of the Institute for Internal Controls (IIC), the Institute of Internal Auditors (IIA) and the Association of Certified Fraud Examiners (ACFE). She is on the advisory board for the IIC and the Exchange Summit. Chris is the author of The Internal Controls Toolkit and The Fiscal Close Toolkit published by Wiley in 2019. The Controller’s Toolkit and The AP Toolkit will be published this year. 


Webinar Access

Instructions to join the Webinar will be sent to the main registrant's email address the day before.

Remember! please log-in at least 15 minutes prior to the webinar commencing to ensure ample time for technical assistance if needed.