SESSION 1: Essential Skills for Compliance Program Management

This session will focus on the skills necessary to manage a successful compliance program, with an emphasis on how experienced compliance professionals can train and mentor those new to a firm or new to the compliance team.  This session will include practical tools and best practices for building and maintaining a strong and effective compliance department.

Learning Objectives:

  • Explore the fundamentals of Compliance Program Management
  • Discuss best practices for educating, engaging and retaining compliance personnel
  • Study specific cases to learn the importance of effective persuasion and negotiation between compliance and its stakeholders
  • Introduce tools for training and mentoring the compliance team, from those who are less experienced, to those on the CCO path
  • Explore ways to become a creative problem solver within your compliance department