Compliance Training, Mentoring and Coaching
Mastering investment adviser compliance demands time, knowledge, experience, and passion.
Our program includes two monthly sessions:
Focused Compliance Sessions
These sessions will teach you both the artistic and scientific facets of mastering investment adviser compliance:
- Adviser rules and regulations (new, proposed and existing)
- Regulatory oversight
- Development, implementation, and management of compliance programs
- Optimization of vendor relationships
- Soft skills that set you apart
We start by covering all topics at a high level. Then we revisit the topics, deepening your understanding with each pass.
Development Sessions
These sessions aim to broaden your investment adviser compliance footprint, dedicating one meeting each month of the quarter to:
- Insightful compliance vendor presentations
- Discussion and Q&A on current regulatory hot topics
- Participation in Productivity Workshops, where we study and apply career development lessons from books and videos
Our Offerings
For Compliance Professionals
For Compliance Professionals
For Compliance Professionals
- Monthly Focused Investment Adviser Compliance Sessions guided by your Coach
- Monthly Development Sessions led by your Coach
- Annual personalized progress assessment with your Coach
- Continuous learning through a facilitated Discussion Forum
- Access archives for class materials and videos
For Managers
For Compliance Professionals
For Compliance Professionals
- Annual goal setting and progress assessment with the Coach
- Invitations to quarterly vendor-led video presentations
- Expert investment adviser coaching, mentoring, and training available for your staff
Your Time Investment
Monthly: 2 hours of video calls
Monthly: 15-30 minutes of focused homework
Quarterly: Read a book or watch a video with a focus on productivity
Annually: 30 minutes for personalized goal setting
Flexible: Join the Discussion Forum for peer-to-peer support facilitated by your Coach
