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.
Industry experts present a different skill each time this course is offered. 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 session will focus on important skills of testing, training, and developing procedures in an uncertain time. Uncertainty in regulation presents unique challenges in determining what to test, how to train and when to develop procedures. In this session, experts in the field will review methods of calibrating your testing, training and procedural development to meet flexible and adaptive circumstances.
After attending this course, attendees should be able to:
- Portray changing regulations and uncertainty in a manner most appropriate for your firm
- Identify (and solve) the problems inherent in uncertainty in regulations and administering compliance programs
- Transform uncertainty in rules and regulations into concrete and meaningful daily action
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:
See 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