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Conducting Effective Registered Rep Oversight in a Work From Home Environment
Oversight of registered representatives can encompass both supervision and compliance. What is supervision? How is it different from compliance? What does it mean to supervise? What does it mean to “fail” to supervise? How can one meaningfully supervise in a teleworking world? This session will provide practical guidance on the requirements and best practices for supervising registered representatives, their outside business activities, high-risk representatives, use of consolidated account reports (CARs) and more, with particular emphasis on the new challenges of supervising home offices.
After attending this session, attendees should be able to:
- Assess elements of effective oversight of registered representatives
- Review practical steps for building an effective supervision program for reps working from home
- Scrutinize the oversight challenges related to high-risk representatives
This virtual course is being taught as part of the Fall 2020 Compliance Conference. To learn more, visit our main conference webpage.
President, Saro 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.
Amber joined NRS in 2014 as a Consultant in Investment Adviser and Broker-Dealer Services. Amber provides consulting services on a wide variety of regulatory issues regarding the Investment Advisers Act, FINRA Rules and other federal and state regulations and delivers comprehensive compliance solutions to investment advisers and broker-dealers in the US and UK.
Amber has over 25 years of wide-ranging experience in the financial services industry including compliance, supervision, trading, operations, training, management, and development. Immediately prior to joining NRS, Amber was Director of Network Office Supervision with Northwestern Mutual for twelve years.
Amber earned her Bachelor of Arts degree in Economics from Vanderbilt University, her Juris Doctor degree from the Indiana University’s Robert H. McKinney School of Law, and is a member of the Indiana state bar. She holds the CLU®, ChFC®, and CFP® designations as well as the Certified Regulatory and Compliance Professional (CRCP™) designation from the Wharton School’s FINRA Institute. She regularly speaks at conferences and webinars and writes on topics related to the financial industry.
For Whom: Designed to increase the professional competence of Broker-Dealers.
Suggested Skill Level: Intermediate
Maximum Recommended Credit Hours for this session will include CLE, IACCP® and CPE .
CA MCLE = 60 minutes
IACCP® = 60 minutes
CPE = 60 minutes
For more information, check out the NRS Continuing Education Guide.