Achieving Compliance Goals with Data Analytics: 6 Proven Examples from Global Companies

Originally offered February 27, 2018

Duration: 60 minutes

CPE Credit: 1 

Description: With the low cost and high availability of personally identifiable information (PII) and stolen identities on the dark Web, fraudsters have changed their focus to application fraud, specifically for credit cards, personal loans and deposit products such as savings and checking accounts. The anonymity, ease and comfort of online and mobile applications help fraudsters use stolen or newly created synthetic IDs to gain credit, bust out funds and disappear. 

Financial institutions must balance the revenue and customer growth from new products, while identifying and removing fraudsters using false or stolen identities to gain access to the organization.

This webinar will discuss how a solution based on advanced network analytics enables financial institutions to better understand customer risk. From the application through the account lifecycle, you will look at suspicious details and customer relationships, as well as customer behavior.

Field of Study: Auditing

Course Level: Basic

Prerequisite: None

Advanced Preparation: None 

Delivery Format: Group Internet Based 

You Will Learn How To:

  • Determine the way data analytics is used to analyze greater volumes of data to reduce risk levels
  • Apply analytics to conduct regulatory and compliance audits
  • Recall methods to automate workflows for routine audit processes to save time and effort
  • Recognize dashboards and data visualization tools to communicate results                                                                                                             

    Lenny Block, CPA, CIA
    Vice President of Internal Audit

    Block brings more than 30 years to his role as Senior Managing Director for the NASDAQ OMX Group’s internal audit team. He performs and manages all phases of internal audits to help ensure regulatory compliance, operational effectiveness and financial reporting integrity for NASDAQ-owned entities. He is also responsible for NASDAQ’s internal audit’s Data Analytics and Continuous Monitoring program. Prior to NASDAQ, he held various senior-level positions with technology consulting organizations providing program leadership, system analysis and business process expertise within multiple industries including nonprofit, mortgage-backed securities and telecommunications.  

    Mark Ponter, CFE, CIA, CISA                                                              
    Senior Lead Auditor – Data Analytics Group                                                              

    Ponter leads the scripting and automation initiative of the department by designing and coding analytic tests to enhance the operational, IT and SOX audit teams. In his tenure, he has led audits and fraud investigations with roles in public accounting, insurance, and the oil and gas industries. He earned a BA from Louisiana State University. 

    Sponsored by Audimation Services, Inc.

    Audimation Services was founded to help fellow accountants, auditors and financial professionals learn to use technology to gain more value and deeper insights from their data. As the U.S. distributor of CaseWare IDEA® and SmartExporter for SAP, we help clients gain rapid ROI with personalized support, training opportunities and value-add resources. Our Solutions Development team provides expert services to streamline audits and improve business processes. Visit us online at

    Information you provide during the registration of this webinar will be provided to the sponsor, Audimation Services, and may be used to send you information, special offers or promotions from Audimation Services.