Critical Skills for High-Performance Compliance Professionals: Redefining Compliance during Uncertain Times - Testing, Compliance Training and Procedural Development
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 set of skills is presented by industry experts each time this course is held. As the compliance industry changes, timely topics are chosen to support compliance professionals in their search for cutting-edge professional development in emerging fields.
This session will focus on the important skill of writing. The SEC’s demand for clear and accurate disclosure has never been greater. Indeed, at least one investment adviser firm has been the subject of an enforcement action because its use of the word “may” was considered misleading by the SEC. After participating in this highly interactive session, you will see your disclosures, policies and procedures, reports, memos, proposals and marketing pieces with fresh eyes and the tools to enable you bring them back to life.
After attending this course, attendees should be able to:
- Compose documents that are clear and succinct to avoid miscommunication and confusion
- Avoid the traps that catch many writers
- Edit and clarify existing documents so that they are more readily understood by your colleagues, your clients and the regulators
Designed to increase the professional competence of financial securities professionals with legal, compliance and management responsibilities.
Suggested Skill Level: Intermediate
Instructional Method: Group Internet-based and Group Live
Prerequisites for participation: No prerequisites are required.
Advance Preparation: None
Continuing Education Credits: TBD
See NRS Continuing Education Guide