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Critical Skills for High-Performance Compliance Professionals: Business Continuity and Disaster Recovery; Lessons Learned in 2020

October 29, 2020
12:30 PM - 2:30 PM CDT
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Course Description:

A pandemic. Domestic unrest. Whipsaw markets. And who knows what else we’ll experience before the year is out. Even those firms that had prided themselves on their business continuity and disaster recovery plans have been shaken to their cores. We’ve all had to experiment and improvise just to keep our employees working and to meet our duties to our clients.

So what now?

This is the time to take stock of what worked, what didn’t work, and what is still being tested. You must be able to demonstrate to a regulatory examiner that you have thoroughly documented all the changes that your firm has had to make this year, that you have evaluated the efficacy of those changes, and that you have updated your risk assessment, policies and procedures, and testing programs to reflect your new reality.

This program will bring together industry experts and your peers to provide a practical, real-world assessment of what has succeeded, what has failed, and what the regulators expect to see when they virtually visit your firm.

Learning Objectives

After attending this session, attendees should be able to:

  • Analyze how recent events have changed your risk analysis.
  • Evaluate your Business Continuity and Disaster Recovery policies and procedures in light of what your peers have done (and continue to do).
  • Verify that teleworkers are continuing to meet their responsibilities to your clients and your firm.

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

Chris Arthur
Chris Arthur
Chief Compliance Officer and Chief Information Security Officer, RDA Financial Network

Chris is an Investment Adviser Certified Compliance Professional (IACCP®) and has served as both a Chief Compliance Officer and Chief Information Security Officer for RDA Financial Network. Prior to joining RDA Financial Network, he worked at the trading and bond desk at Cambridge Investment Research a Broker/Dealer.

Chris has expertise in the Investment Adviser’s Act of 1940 and in a Registered Investment Advisory firm’s compliance responsibilities toward Cyber Security Risk Mitigation Practices. Chris custom builds Policies and Procedures for RIA firms which include but are not limited to Business Continuity and Disaster & Recovery Plans, Information Security Policies, Communication Policies, Red Flag Policies, Incident Response Protocols, Password Protocols, Data Destruction Policies & Procedures, Vendor Management due diligence and onboarding checklists.

Chris has taught classes on Compliance, Cyber Security training, Estate and Financial Planning for; RDA Financial Network, TDAmeritrade, his affiliated Broker/Dealer United Planners, the University of Iowa and NRS.

Kurt Wachholz
Kurt Wachholz
Director EducationNRS

Kurt Wachholz has been in the financial services industry for almost three decades. As an executive consultant, Kurt conducts on-site examinations, audits, and program reviews. As director of education, Kurt oversees the development and administration of two compliance professional programs: the Investment Adviser Core Compliance certificate program and the Investment Adviser Certified Compliance Professional® designation. Both professional development programs are co-sponsored with the Investment Adviser Association.

Kurt is a frequent industry speaker at conferences, topical symposiums, and online seminars. He has developed and taught “Ethics in Leadership”, a MBA program module for the Goizueta Business School at Emory University. He has developed and taught “Regulatory Jeopardy”, an elective course for the Securities Industry Institute® in partnership with SIFMA and the Wharton School at the University of Pennsylvania. He is a contributing author and member of the editorial board for Modern Compliance: Best Practices in Securities and Finance and an editorial board member for the Journal of Financial Compliance.

Kurt earned his BA from the University of Wisconsin and his Investment Adviser Certified Compliance Professional designation from the Center for Compliance Professionals. Kurt has also been a CTO, COO, CCO, OSJ/registered principal, investment adviser representative, and licensed insurance agent.

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, CFP, IACCP® and CPE.

CA MCLE = 120 minutes
CFP = 2 credits
IACCP® = 120 minutes
CPE = 120 minutes

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