Critical Skills for High-Performance Compliance Professionals
November 4, 2016
Friday 11:30 AM - 1:30 PM (MT)
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. Critical thinking, strategic planning, 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.
A different skill is presented by industry experts each time this course is held. As the compliance industry changes, a timely topic is chosen to support compliance professionals in their search for cutting-edge professional development in emerging fields.
This conference session will focus on important skill of effective communication.
Effective communication requires more than a solid foundation in grammar and a strong vocabulary. To truly get your message across, you need to consider several factors, including:
- The nature and sophistication of your intended audience;
- The strengths and limitations of the method of communication you are using;
- The way you want to be perceived;
- The need to Identify potential legal or regulatory pitfalls; and
The short- and long-term goals you want the communication to meet.
In this session we will review methods of calibrating your compliance communications to optimize your message to whatever audience you choose - regulators, clients or colleagues - whether the communication is a response to a deficiency letter, a presentation for clients (or examiners), or required disclosures.
- Portray your firm in the manner most appropriate to your audience
- Identify (and solve!) the problems inherent in writing one communication for both clients and regulators
- Revamp your current disclosures, form letters and procedures to make your message come through
For whom: Designed to increase the professional competence of investment adviser and broker-dealer professionals with legal, compliance and management responsibilities
Suggested Skill Level: Intermediate
Instructional Method: Group Internet-based and live
Prerequisites for participation: No prerequisites are required.
Advance Preparation: None