Compliance Training

Compliance staff
and their role.

Supporting compliance personnel results in current and long term value–increasing and protecting the organization’s bottom line.

Compliance Training helps compliance personnel at all levels in an RIA to be more effective in their role.  The program guides compliance staff at all levels to understand their role, the challenges they face, the need to work effectively with different personalities and how to expand their knowledge, effectiveness and credibility, while maintaining balance and perspective.   Individuals who complete this program will have the tools to understand the value of proactive and informed actions, how to make a strong case without devolving into confrontation, and how to gain and utilize the substantive knowledge so necessary in today’s evolving regulatory environment.

Compliance Training has the flexibility to help new compliance staff adapt to and excel at their new role as well as to support experienced compliance leaders to identify tools and best practices that will continue their growth and enhance the value they can bring to the organization.

Why should my organization consider Compliance Staff Coaching and Training?
Compliance staff in registered investment advisors all face the same challenge of supporting a business striving to be successful in a highly regulated industry.  Organizations wisely invest in training for business development staff.  A short fall from business development can affect profitability now and in the next several quarters before it can be rectified.  However, a compliance or regulatory problem can destroy the productivity of the bulk of the organization due to necessary efforts to rectify exposure to customer claims and/or regulatory issues.  This loss of productivity across the organization due to remediation efforts is experienced even in the absence of a legal action or a formal enforcement action.

What are the specific benefits to my trust organization from Compliance Training?
Compliance Staff Training directly supports the organization’s compliance program by preparing  compliance personnel, resulting in current and long term value–increasing and protecting the organization’s bottom line.