The Controller's Toolkit

Exam Questions: 100
Course Level: Basic
Pages: 668 | Content: 626, Supplemental: 42
NASBA Area of Study: Management Services
Not Acceptable for: Enrolled Agents
Version: 8005A

This course comes complete with the tools and information a financial controller will need to master areas like business ethics, corporate governance, regulatory compliance, risk management, security, IT processes, and financial operations. It includes a collection of templates, checklists, internal controls, review sheets, policies, and procedures that will prove invaluable for small businesses, multinational firms, and everything in between. PLEASE NOTE: Not accepted for Enrolled Agents. All course material provided. No prerequisites. Course level: Basic.

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Course Information

Table of Contents
  • Defining the Role of a Controller
  • The Controller and Risk Management
  • The Controller and Ethics
  • The Controller and Corporate Governance
  • Entity-Level Controls
  • Strategic Planning and Mergers and Acquisitions
  • Internal Control Program
  • Regulatory Compliance
  • Procure-to-Pay
  • Hire-to-Retire
  • Order-to-Cash
  • Record-to-Report
  • Budgets, Forecasts, and Capital Budgeting
  • Supply Chain Management and Inventory Control
  • Treasury and Cash Management
  • Shared Services and Business Process Outsourcing
  • Dashboards, Data Validation, Analytics, Metrics, and Benchmarking
  • Information Technology Controls and Cybersecurity
  • Business Continuity and Physical Security
  • Leadership and Managing Change
  • Trends, Process Transformation, and Digitization
  • To identify the person in charge of the process related to finance and accounting
  • To recall the characteristics of risk management
  • To recall recommendations to consider when implementing an ethics training program
  • To recall the characteristics of the Public Company Accounting Oversight Board
  • To identify the internal controls framework that has been utilized since the implementation of the Sarbanes-Oxley Act of 2002
  • To recall the characteristics of mission, values, and vision statements
  • To recognize the three critical corporate controls
  • To recall the means of identifying and verifying the identity of financial institution customers
  • To identify key performance indicators (KPIs) for the accounts payable process
  • To recall the definition of human capital management
  • To recall the methods used to evaluate a potential customer's credit
  • To identify financial statement fraud red flags
  • To recall the main purpose of a budget
  • To recall the common categories of bill of materials errors
  • To recall the characteristics of various letters of credit
  • To recognize the characteristics of various outsourcing models
  • To recall the three common types of benchmarking initiatives
  • To recognize the principles of COBIT 5
  • To identify the characteristics of an ideal IT disaster recovery plan
  • To recognize the traits of a successful active listener
  • To recall the various types of cloud computing

PLEASE NOTE: CPE credit measurement is based on NASBA Registry and QAS guidelines of one credit for every 50 minutes. Credit calculation may vary in different states — check with your State Board of Accountancy. Unless otherwise noted in the specific course description, no advanced preparation is required in order to register or complete any PES CPE course. Use of materials or services provided by Professional Education Services, LP ("PES") are governed by the Terms and Conditions stated on PES' website www.mypescpe.com. PES provides these courses with the understanding that it is not providing any accounting, legal, or other professional advice and assumes no liability whatsoever in connection with its use. PES has used diligent efforts to provide quality information and material to its customers, but does not warrant or guarantee the accuracy, timeliness, completeness, or currency of the information contained herein. Ultimately, the responsibility to comply with applicable legal requirements falls solely upon the individual licensee, not PES. PES encourages you to contact your state Board for the latest information and to confirm or clarify any questions or concerns you have regarding your duties or obligations as a licensed professional.