Surgent's Risk, Compliance, and Regulation for CFOs

Overview

This course covers core regulatory, compliance, and enterprise risk areas that modern CFOs must oversee. It includes frameworks for internal controls, fraud prevention, and cybersecurity awareness - tailored for SMBs and private companies - alongside evolving regulatory expectations.

Highlights

• Enterprise risk management (ERM) principles
• Internal control frameworks (e.g., COSO)
• Fraud risk and compliance exposure
• Cyber risk awareness for financial leadership
• Private company regulatory updates (e.g., beneficial ownership information, anti-money laundering, ESG trends)

Prerequisites

Familiarity with GAAP, internal control environments, and financial statement preparation

Designed For

Aspiring and current CFOs, controllers, and firm partners responsible for governance, internal controls, or compliance strategy

Objectives

• Analyze key financial, operational, and regulatory risks facing CFOs in SMBs
• Apply internal control and risk management frameworks (e.g., COSO, ERM) to evaluate organizational readiness
• Assess the CFO’s role in fraud prevention, compliance oversight, and ethical governance
• Integrate cybersecurity and data protection strategies into enterprise risk governance

Preparation

None