Critical Skills for High Performance Compliance Professionals
May 16, 2012
1:00 PM – 3:00 PM ET
While compliance professionals are most adept at understanding what knowledge is needed to execute compliance tasks and responsibilities and foster a culture of ethical compliance, how to execute and implement is more challenging. Leadership, empowerment, organizational, research, technology, communication and teaching skills weigh heavily in how effectively and pervasively a compliance and ethics culture can be established in a firm. Participate in exercises that refine the skills and abilities that a compliance professional needs and gain concrete experience transforming rules and regulations into meaningful daily action.
Lay claim to your firm’s training program as a vehicle to break down silos, spread a compliance message and mark your firm as being proactive in instilling a culture of compliance. This session will empower participants to fortify their firm’s compliance training program and do it using existing resources. An interactive discussion will provide new and creative ways of engaging and training your firm’s staff. Attendees will take away an updated list of training topics, materials currently used by industry professionals, and a variety of media and methods used to consistently reinforce employee responsibilities with compliance rules and regulations.
After attending this course, attendees should be able to:
- Learn and practice techniques that foster a firm-wide ethical culture of compliance
- Participate in exercises that refine the skills and abilities that a compliance professional needs to inculcate a strong organizational compliance culture
- Refine communication and leadership skills to excel as compliance leaders in an ethical organization
Chief Compliance Officers
Compliance Staff at all levels
Suggested Skill Level: Intermediate
Instructional Method: Group Internet-Based and Group Live
Pre-requisites for participation:
No advance preparation or prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940 to become familiar with the structure and terms.
Advance Preparation: None
Order this Desktop on Demand