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Critical Skills for High-Performance Compliance Professionals: Compliance Stress, Sources and Strategies

July 15, 2020
8:30 AM - 10:30 AM CDT
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This virtual course is being taught as part of the Central Investment Adviser Certified Compliance Professional Program Symposium.

It should come as no surprise that US News has reported that 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 interactive session will examine the various sources of stress for compliance professionals and suggest potential ways to manage stress. Come prepared to share your own experiences and methods for coping with stressful situations, and take advantage of this opportunity to learn and grow from the experiences of the panel and your peers.

After attending this session you will 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

For Whom: Designed to increase the professional competence of investment adviser professionals with legal, compliance, operations, trading and management responsibilities.

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based and Group Live

Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940 to become familiar with the structure and terms.

Advance Preparation: None

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