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
While technical skills are a compliance professional’s foundation, intangible skills like emotional intelligence and strong communication are essential to growing your career. This session will help you learn how to hone your communication style, model executive presence, effectively collaborate across business units, and build and maintain working partnerships.
Learning Objectives:
- Learn how to adjust your communication and engagement style (including managing vertically and horizontally) to different levels of professionals in your organization
- Understand the ways active and reflective listening can enhance your effectiveness
- Discuss techniques to create a supportive compliance environment through empathy, open-mindedness, and diplomacy
- Examine ways to build and maintain the culture of compliance while working remotely