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Critical Skills for High-Performance Compliance Professionals
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 session 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.
This virtual course is being taught as part of the July Investment Adviser Core Compliance Program Symposium.
After attending this session, 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
Maximum Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Maximum Recommended IACCP® CE Credit: 2
Maximum Recommended CA MCLE Credit: 2