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Compliance Professional Summit

December 15, 2022
1:00 PM - 3:00 PM EST
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Course Description:

Today’s compliance professionals are facing an era of dynamic and rapid regulatory change. New regulatory leadership and initiatives are changing securities regulation in fundamental ways. More demanding regulatory inspections and growing expectations (such as social media and cloud computing) are straining compliance resources. Now, more than ever, the periodic identification and assessment of both compliance and operations risk is 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 lively discussion among a panel of compliance professionals from firms of many sizes will raise current risk issues of concern to many compliance professionals.

After completing this course you should be able to:

  • Explore 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.

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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. However, attendees can benefit by reviewing the securities laws to become familiar with the laws’ structure and content.

Advance Preparation: None

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