Motivating Staff to Avoid Compliance Breaches
Instructor:
Jack Bensimon
Product ID: 706228
- Duration: 60 Min
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 in the Webinar:
- 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:
- CAMLO (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
Jack Bensimon
Managing Director, Black Swan Diagnostics Inc
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. He also provides ongoing and interim CCO/CAMLO regulatory compliance services to different types of regulated financial entities.
Jack is a graduate of the University of Toronto, Faculty of Law, Master of Laws (LLM) in Business Law, and completed both his General LLM and Securities Law LLM at Osgoode Hall Law School, York University. Jack is also a graduate of the University of Pennsylvania, The Wharton School of Business, in a graduate program in investment management. He completed his B.A. (Hon), Economics/Math, University of Toronto.
Refund Policy
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Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange. Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time. On-Demand Recording purchases will not be refunded as it is available for immediate streaming. However if you are not able to view the webinar or you have any concern about the content of the webinar please contact us at below email or by call mentioning your feedback for resolution of the matter. We respect feedback/opinions of our customers which enables us to improve our products and services. To contact us please email [email protected] call +1-888-717-2436 (Toll Free).
