Women in Securities Compliance


Course Description:

Where have we been? Where are we now? Where are we going? This session will be led by women who have and who are now defining what it means to be a compliance professional. While the session is geared towards women, men who supervise or are supervised by women or work alongside women in compliance will want to attend in order to better understand how to build successful teams that include women.

Learning Objectives:

  • Interact with women in your profession to compare professional development, identify common needs and share resources.
  • Increase your professional network and connections
  • Assess your unique challenges and ways to address them

For Whom: Designed to increase the professional competence of financial services compliance professionals with legal, compliance, ethics, 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
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2