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Compliance Stress; Sources and Strategies

October 29, 2020
10:30 AM - 11:45 AM CDT
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Course Description:

Your job was stressful before the pandemic kicked everything up a notch or ten. Even before the current crisis, US News reported than compliance officers experience a high level of stress. Some of that is, of course, the nature of the job. But are there other factors at play? Are those who volunteer to accept compliance responsibilities more willing to “step up to the plate” or “take one for the team” than others in their firms? Is this a personality trait that may drive higher levels of stress? Are there other traits shared by those who choose compliance as a profession that may be contributing to one’s stress level? This session will examine the various sources of stress for compliance professionals and suggest potential ways to manage stress.

Learning Objectives

After attending this session, attendees should be able to:

  • Identify internal and external sources of stress
  • Determine if the qualities that make you a good compliance professional are contributing to your stress
  • Explore practical methods of reducing stress

This virtual course is being taught as part of the Fall 2020 Compliance Conference. To learn more, visit our main conference webpage.

Anne Buckley
Anne Buckley
PresidentSaro Partners Co.

Anne Buckley is the Chief Compliance Officer at Palladium Capital Advisors, LLC. Anne also is the President of her Compliance Consulting Company – Saro Partners.

Anne has over 30 years of experience in the legal and compliance area for financial service companies. She has held the positions of Chief Operating Officer, Chief Compliance Officer and AML Officer for FINRA member broker-dealers and SEC registered Investment Advisors. Anne has been supporting throughout her career the compliance initiatives of a select group of SEC registered Investment Advisors, private equity firms, investment management advisors and broker-dealers. She began her securities career with the Massachusetts Securities Division and the Boston office of the NASD, now FINRA.

Anne holds a J.D. from New England School of Law and a B.A. from the University of Massachusetts and is a member of the Massachusetts Bar. She has attained her IACCP® designation and completed the FINRA Institute at Wharton Certified Regulatory and Compliance Professional (CRCP) program, as well as holding her Series 4, 7, 24, 27, 79, 87 and 99. Anne participates frequently as a presenter for IACCP courses as well as at various industry compliance conferences.

Marilyn Miles
Marilyn Miles
Vice President, Consulting & Education, NRS

Marilyn joined NRS in 1994 as a Consultant. In 1999, Marilyn became a Senior Consultant; in 2007 was named VP of NRS Investment Adviser Services; and in 2015, Marilyn was named VP of NRS Consulting & Education departments. In this capacity, Marilyn manages the firm’s consulting services and education departments, overseeing the hiring, training and overall performance of the teams.

Marilyn is a frequent speaker at NRS and industry conferences. She is also an expert lecturer in the IA Certified Compliance Professional Program (IACCP®) co-sponsored by NRS and the Investment Adviser Association (IAA). Marilyn contributes to and/or has been sought for comment and information by leading industry publications, including, among others, The Wall Street Journal and Financial Planning Magazine, on various compliance topics.

Marilyn received a Bachelor of Arts degree in English from Regis College, magna cum laude, and a Juris Doctor degree from New England School of Law. She is a member of the State Bar of Massachusetts, and is actively involved in volunteering for the Juvenile Diabetes Research Foundation.

For Whom: Designed to increase the professional competence of Investment Advisers and Broker-Dealers.

Suggested Skill Level: Intermediate

Maximum Recommended Credit Hours for this session will include CLE, IACCP® and CPE.

CA MCLE = 75 minutes
IACCP® = 75 minutes
CPE = 75 minutes

For more information, check out the NRS Continuing Education Guide.