Overview
Course Description:
Knowing and understanding the rules is key to an agile compliance program – but so is the ability to get things done! Rather than looking at regulations, this session shines a spotlight on how a recently hired or promoted compliance professional can develop relationships and alliances within the firm while simultaneously establishing a practical and effective compliance program. This session is also highly valuable for those who want to refresh or re-establish their current programs.
The session will also focus on “soft skills” – the unquantifiable yet vital ability to listen to and effectively communicate with your colleagues and senior management – even (or especially) when you disagree. Our experience shows that developing credibility within your firm is key to overcoming the perception that compliance is the “sales prevention department” and to developing a mutually beneficial relationship with the other departments in your firm.
Learning Objectives
After attending this session, attendees should be able to:
- Develop a strategy and schedule for managing the first year at a new firm.
- Approach an existing compliance program with a plan to keep what works and work with others in the firm to make needed changes.
- Create mutually beneficial relationships and alliances throughout the firm.
Speakers
Coming soon!
Who is this for?
For Whom: Designed to increase the professional competence of investment adviser professionals with legal, compliance 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. However, attendees can benefit by being ready to discuss the challenges they face in establishing a functioning compliance program.
Continuing Education Credits
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