Compliance Professionals
A Rewarding Career with Integrity.
Effective Compliance Program
The Effective Compliance Program is our methodology to reduce regulatory liability and risk exposure and increases the effectiveness and value of the compliance program and professionals.
The Effective Compliance Program enables compliance professionals develop and strengthen the skills, mindset, and behaviors necessary to maintain their compliance program, achieve goals, and advance their career.
The program is blend of coaching, training, and advisory services, which includes multiple workshops, one-on-one sessions, ongoing training and information, and unlimited as-needed support.
Organizations with effective compliance programs avoid regulatory scrutiny.
Organizations with effective compliance professionals have effective compliance programs.
Coaching
Coaching engagements cover the entire scope of a compliance professional’s responsibilities, including how to design, administer, monitor, and lead effective compliance programs and teams for their organizations.
Together, we embed lasting change through key milestones, transforming effectiveness, as well as professional performance, satisfaction, and potential.
Through our partnership, compliance professionals become engaged and energized leaders with rewarding and balanced careers.
How We Help Compliance Professionals
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Newly Promoted CCO
Newly promoted CCO wanted to elevate executive presence and leadership and forge strategic relationships with key stakeholders while maintaining personal priorities. Rob helped the CCO establish key internal partnerships through social interactions and become regarded as a leader in the organization by assuming leadership responsibilities at appropriate opportunities. During this time, the CCO enjoyed an improved personal life.
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CCO Joining a New Firm
New joiner wanted to acclimate to a new business and culture, including building executive relationships while demonstrating value in the short-term. Rob helped the new joiner implement a reasonable acclimation process to understand the business, sales model, and control program. New joiner formed leadership connections authentically and demonstrated leadership and technical abilities within first few months.
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Reorganized Compliance Role
Compliance specialist impacted by organizational changes and had to quickly evolve to become a generalist and assume diverse additional responsibilities. Rob helped the specialist focus on strategic and tactical responses to frame, analyze, and address matters and challenges as they expanded their regulatory and operational skillset, and also navigate new organizational, management, and career dynamics.
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Succession of CCO
Designed a seamless transition of the CCO role to a successor by structuring a comprehensive full-scope on-boarding program covering all organizational, business, and operational knowledge, and included outreach and introductions to clients and board members. Post-transition real-time coaching sessions covered analysis and guidance on organizational, operational, and regulatory matters.
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Global Compliance Team
Coached regional compliance leaders to acclimate to organizational changes, including the implementation of an integrated global compliance program. Regional leaders developed initiative and project management skills, risk awareness, and strategic vision, ultimately elevating themselves to become recognized leaders with management presence and participation.
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Building Knowledge and Aptitude
Co-created the curriculum and content for the Certified Securities Compliance Professional certification, and co-instructed graduate school course on a breadth of regulatory and professional topics to elevate aptitude, effectiveness, and career potential.
Training
Training and personalized guidance based on your desired curriculum, cost, and timing. There’s no need to wait for conferences, summits, or webinars.
We help compliance professionals, teams, and organizations become more knowledgeable, capable, and empowered through training and education.
Customized training curriculums, sessions, and content with ongoing support.
Investment Management Compliance Training
We provide specialized training on all regulatory requirements for SEC-regulated investment management firms, including investment advisers, private funds, and investment companies.
Effective Compliance Training
We provide training on all aspects of designing, administering, and managing compliance programs, as well as executive and leadership skills.