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Critical Skills for High-Performance Compliance Professionals

June 7, 2018
10:45 AM - 12:45 PM PDT
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Course Description:

While compliance professionals are most adept at understanding what knowledge is needed to execute compliance tasks and responsibilities and foster a culture of ethical compliance, how to execute and implement is more challenging. Critical thinking, strategic planning, leadership, empowerment, organizational, research, technology, communication and teaching skills weigh heavily in how effectively and pervasively a compliance and ethics culture can be established in a firm.

A different skill is presented by industry experts each time this course is held. As the compliance industry changes, a timely topic is chosen to support compliance professionals in their search for cutting-edge professional development in emerging fields.

Participate in exercises that refine the skills and abilities that a compliance professional needs and gain concrete experience transforming rules and regulations into meaningful daily action.

After attending this course, attendees should be able to:

  • Apply cutting-edge professional development techniques to your firm’s specific business
  • Participate in exercises that refine the skills and abilities that a compliance professional needs to inculcate a strong organizational compliance culture
  • Gain concrete experience transforming rules and regulations into meaningful daily action
  • Refine communication and leadership skills to excel as compliance leaders

For Whom: Designed to increase the professional competence of financial securities professionals with legal, compliance, technology, operations and management responsibilities

Suggested Skill Level: Intermediate

Instructional Method: Group-Internet-Based and Group Live

Pre-requisites for participation: No prerequisites are required.

Advance preparation: None

NRS Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2