Managing Employee Compliance and Code of Ethics for Wealth Managers
Compliance officers often face challenges managing employee compliance, particularly with regard to Code of Ethics obligations. Compliance officers must ensure employee compliance not only for firm employees, but also for investment advisory representatives (IARs) and independent contractors.
Join us on July 9 at 11:00 AM EDT for an insightful webinar where we will delve into the challenges compliance officers encounter while managing employee compliance, particularly in relation to Code of Ethics, and provide best practices and actionable insights to help you improve your firm’s employee compliance program.
This webcast will cover a wide range of topics, including understanding the problems that organizations confront, developing a positive compliance mindset, and identifying the resources that are required for compliance. We will also discuss the argument between human monitoring and adopting a compliance management system to automate activities.
Discussion Topics:
- Defining employee categories
- Understanding the regulatory landscape
- Creating and maintaining compliance-minded employees
- Maximizing Internal & external resources
Why Attend?
- Gain valuable insights into managing compliance effectively
- Learn best practices for handling compliance among employees and contractors
- Explore strategies for maintaining a robust compliance framework
Speakers
- Ann Keitner, Senior Principal Consultant, ACA Group
- Andrew Hamelin, Senior Principal Consultant, ACA Group
Join us
Tuesday, July 09, 2024
8:00am PT | 11:00am ET | 4:00pm BST