Mastering Critical Skills for High-Performance Compliance Professionals
1:00 PM – 3:00 PM
Wednesday, October 10
Speakers:
Craig Watanabe
Rules don’t stop criminals. What stops criminals is good surveillance followed up with timely intervention. This Mastering Critical Skills workshop will provide you with a comprehensive set of tools to effectively “know who is doing what” at your firm. Items covered include:
- A live demonstration of how to effectively use internet searches to gather intelligence
- How to turn SEC Litigation Releases into case studies for learning
- Red flags in background checks
- How to gather human intelligence by talking to people
- Why watch lists are the preferred risk management tool in surveillance
- The critical importance of daily blotter reviews
- How to perform physical inspections including what to look for on computers
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