The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.
Manage and monitor the flow of sensitive information across your firm with ComplianceAlpha®
Our Control Room Solution helps compliance and legal teams identify potential conflicts of interest, manage restricted securities, and mitigate insider trading risk.
Designed to be your firm’s central repository for all public and private data, including data related to investment banking, private market deals, and other material non-public information (MNPI) such as wall crossings. Key features include:
- Enables the exchange of data that is critical to employee-level and firm-level restrictions and conflict of interest checks
- Integrates with ComplianceAlpha’s Employee Compliance and Market Abuse Surveillance Solutions
- Integrates with third-party systems using REST APIs and webhook technology
- Manage multiple restricted lists including historical records as companies move across lists
- Create custom-defined restrictions to individuals, firm portfolios, etc.
- Enforce restriction time periods with flexible start and end dates
- Send restrictions to screening lists in ACA’s Employee Compliance solution or third-party systems
- Run conflict checks across different systems to quickly see conflicts related to Control Room records
- See related information including the type of conflicted activity, linked companies, and linked employees
- Build custom dashboards and reports with ComplianceAlpha Analytics
- Records all system activity in the platform’s comprehensive audit trail
- Control Room uses public and private data sourced from FactSet to normalize the data used for setting restrictions and conflict of interest checks across corporate hierarchies
- Employees can easily add records related to deals and MNPI request/notify Control Room about MNPI or wall crossings
We will discuss how the 2022 SEC Examination Priorities, Risk Alerts and new proposed rules may impact your firm and your compliance program.
The regulator is clear, you and your team must review your competence and training needs regularly. This course is designed specifically to assist all staff in meeting and staying up to date with their statutory and regulatory obligations.