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. 

Listen to our 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. 

• 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 

Who Should Attend? 

This webinar is for compliance officers in the wealth management space who want to create efficiencies around employee compliance and ensure their Code of Ethics management meets regulatory expectations and can withstand regulatory review.