So You Want To Be A CCO: Insider Tips and Tricks of the Profession

The Chief Compliance Officer (CCO) has become a crucial employee at most financial services firms, and a stand-alone one requiring technical skills and the knowledge of ever-evolving rules and best practices.

This webcast will:

Provide practical tips for managing a compliance function such as:

• Understanding the primary compliance function
• Differences in the compliance role at BDs, IAs and other financial institutions
• Prioritizing and managing time, while wearing multiple hats
• Managing policies and keeping pace with rule changes
• Nurturing key relationships

Mark Egert is one of the speakers at this webcast.