How effective are you in your compliance role? Do you maximize your efforts and use available resources to run an efficient compliance program? Do you recognize compliance concerns before they negatively impact your firm or only after when it may be too late?
Join NCS Regulatory Compliance as we hear from two successful CCOs.
Key takeaways include:
- Creating a strong culture of compliance,
- Assessing how compliance impacts your firm’s next “big idea”,
- Ensuring regulatory obligations are properly addressed,
- Keeping required books and records organized,
- Educating yourself and staff to stay ahead of the latest regulations and compliance trends, and
- Applying your firm’s resources and staff to run a robust compliance program.