Compliance Professional Summit


Course Description: Today’s compliance professionals are facing an era of dynamic and rapid regulatory and operational change. The Dodd-Frank Act and other initiatives have changed securities regulation in fundamental ways. More demanding regulatory inspections and tougher SEC enforcement activity are also demanding increased compliance resources. Now, more than ever, the periodic identification and assessment of both compliance and operations risk are both fundamental to the compliance discipline and essential for an investment adviser to understand its mitigation needs and resource allocation requirements. Accordingly, compliance officers must increasingly place a premium on risk intelligence skills, and seek to cultivate this aptitude within the organization.

A panel of experienced CCOs will explore current and emerging risk areas and will offer practical insights and a collective strategic vision on intriguing and all-important developments for compliance professionals. Attendees are encouraged to join the conversations through polling responses.

Learning Objectives:

After attending this course, attendees should be able to:

  • Determine the nature and implications of the increasing focus on risk management on the role of the compliance professional
  • Understand how to structure the risk assessment process to expand its focus from beyond core regulatory compliance obligations under the securities laws to consideration of compliance and operations risks that emanate from other sources
  • Conceptualize and organize firm operations from a risk perspective, based on an understanding of how regulation in one area impacts other areas and the firm’s overall enterprise risk exposure.

For Whom: Designed to increase the professional competence of financial securities’ compliance professionals with legal, compliance, technology and management responsibilities

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based

Pre-requisites for participation: No pre-requisites are required.

Advance Preparation: None.

Continuing Education Credits:

See NRS Continuing Education Guide
Recommended CPE Credit: 2
Recommended IACCP CE Credit: 2
Recommended CA MCLE Credit: 2