Critical Skills for High Performance Compliance Professionals-Healthy Skepticism: A Hallmark of the Compliance Professional
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 course will focus on the skill of healthy skepticism. What is skepticism? How much is enough? Can/should you presume your co-workers are providing accurate information? How do you obtain sufficient information to make an objective assessment? When does a review become an investigation? To whom should problems be escalated?
After attending this course, attendees should be able to:
1) Explore how skepticism is seen in other professions
2) Refine techniques for obtaining information on potential issues before they become problems
3) Engage in an interactive review of an actual case to see where skepticism might have kept a firm out of trouble.
For Whom: Designed to increase the professional competence of financial securities professionals with legal, compliance, technology, operations and management responsibilities
Suggested Skill Level: Intermediate
Instructional Method: Group-Internet-Based and Group Live
Pre-requisites for participation: No prerequisites are required.
Advance preparation: None
Continuing Education Credits:
NRS Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2