2020 - Motivating Staff to Avoid Compliance Breaches

OVERVIEW
This webinar will discuss ways to develop rewards and deterrence strategy to ensure staff are effectively motivated to comply with the firm’s policies & procedures. It’s often a matter of clarifying for staff what is expected of them to tailor their job, and how best they can satisfy compliance requirements without compromising their own performance. The goal is to turn this into a crusade without staff believing it to be so.
WHY SHOULD YOU ATTEND
All regulated entities are continuously faced with meeting an increasingly complex maze of compliance requirements for which staff have trouble keeping up with. Without getting staff to “buy-in” to the firm’s compliance program, actual compliance may be at risk, compromising the firm’s brand and reputation.
All attendees will learn methods and tools to persuade staff to most effectively “buy-in” to comply with firm requirements without affecting corporate culture. The webinar will also show you how to communicate the rewards and penalties in a non-threatening environment to create a strong culture and tone of compliance.
AREAS COVERED
What does “buy-in” mean and look like for staff?
How to simplify the language in compliance communication
Dealing with rogue staff that are continuously in non-compliance
Mapping compliance needs to the role of key staff members
Implementing a compliance culture with staff input
How to develop deterrence tools for staff while also not creating too much fear to hamper performance
Linking compliance to reputational risk in simple language
Creating a culture of tone-AT-the-top
How to lead by example
WHO WILL BENEFIT?
Chief Anti-Money Laundering Officers
Compliance Officers
Founders
Legal
Compliance Staff
Operations Officer
Chief Compliance Officers
Administrators
Chief Operations Officer
Chief Technology Officers
Compliance Director
Auditors
Chief Financial Officer
Finance Manager
Chief Privacy Officer
SPEAKER
Jack is a seasoned securities law / banking law professional in the securities industry. Through Black Swan Diagnostics Inc., he advises banks, broker-dealers, fixed income dealers, MSBs, ATS, regulators, trust and insurance companies, Portfolio Managers, Exempt Market Dealers, Investment Fund Managers, mutual fund dealers, energy companies, fintech companies, robo advisers, software providers, blockchain companies, cannabis platforms and issuers. He has registered various entities with the SEC, OSC/IIROC, spanning PM/IFM/EMD licenses.
For more detail please click on this below link:
http://bit.ly/2EE7d3u
Email: support-AT-247compliance.com
Tel: +1-(510)-868-1040