Effective Compliance Program
Learn how to decrease risk and increase effectiveness in only 3 quarters
The Effective Compliance Program helps compliance professionals reduce regulatory liability and risk exposure and increase their effectiveness and career potential.
Guidance Compliance Professionals Need
Compliance programs are evaluated by the regulators based on the effectiveness of the compliance program.
Organizations with effective compliance professionals have effective compliance programs.
According to regulators, an effective compliance professional must be:
Knowledgeable
Competent
Empowered
Adequately Resourced
However, regulators do not define their criteria for those qualities and effectiveness is often evaluated after the fact.
This is why the Effective Compliance Program was created.
The Effective Compliance Program distills years of research into the specific skills and behaviors that enable compliance professionals to consistently demonstrate effectiveness.
Program Overview
The Effective Compliance Program is a 9-month training program that consists of:
Personalized Assessment and Development Plan
Live Online Training Sessions (7 Sessions, each 1 – 2 hours in length)
One-on-One Coaching Sessions (8 Sessions, each 60 minutes in length)
Weekly Guidance and Communication
Access to Tools and Resources
On-Demand Support (within 24hrs)
The Effective Compliance Program curriculum covers 15 skills and behaviors that demonstrate that you are knowledgeable, competent, empowered, and adequately resourced as a compliance professional.
KNOWLEDGEABLE
REGULATORY KNOWLEDGE: Strengthen your ability to navigate, interpret, and apply the relevant regulations and regulatory expectation, including areas of regulatory development, enforcement, and focus.
INDUSTRY KNOWLEDGE: Expand your understanding of the industry ecosystem, operating models, practices, trends, and developments.
BUSINESS KNOWLEDGE: Leverage your understanding of your organization’s structure, model, operations (including products, services, clients, and infrastructure), as well as its leadership, culture, history, and strategic objectives.
COMPETENT
COMMUNICATION: Expand your skills to communicate clearly with diverse audiences across a variety of channels and aims, including conflict resolution.
AWARENESS: Calibrate your awareness to stay attuned to risks, including situational and commercial awareness.
ADAPTABILITY: Increase your proficiency at navigating changing environments and priorities, as well as problem-solving and crisis management.
JUDGMENT: Refine your critical thinking, deductive reasoning, and analytical skills and identify the most effective ways to demonstrate your judgment and decision-making.
EMPOWERED
EXECUTIVE PRESENCE AND LEADERSHIP: Elevate your profile and impact as a leader in your organization.
STRATEGIC PARTNERSHIPS: Create and maintain partnerships with stakeholders throughout the organization in ways that advance compliance objectives and deliver value.
TRUST AND MANAGEMENT SUPPORT: Invest in opportunities to build trust and support from management across the organization.
AMBASSADORSHIP: Consciously curate your embodiment of ethics and compliance in the organization to be seen as a mentor and model.
ADEQUATELY RESOURCED
PROCESS DESIGN: Leverage and creatively use business processes and available resources to accomplish compliance objectives.
PRODUCTIVITY AND TEAM MANAGEMENT: Achieve the optimal productivity from your available time, energy, and resources, and manage your team to perform similarly.
VENDOR MANAGEMENT: Optimize how you evaluate, utilize, and oversee service providers.
BUDGET AND ADVOCACY: Practice the most effective ways to advocate for your budget resources and ensure the prudent and best use of your available budget.
Through the Effective Compliance Program, you will learn the single most determinative factor in whether a compliance professional is effective and learn how to maximize your use of it.
How the Program Works
The process of the Effective Compliance Program includes:
ASSESSMENT
During onboarding, we help you evaluate your current effectiveness, and identify areas of strength and weakness.
PERSONALIZED PLAN
Together, we develop a personalized plan that incorporates your professional goals, projects, and responsibilities.
TRAINING
We provide workshop instruction, information, and tools on each area of the curriculum.
APPLICATION
We provide personalized guidance on how to implement the practices and behaviors in your plan, fulfilling your stated goals, projects, and responsibilities.
MASTERY
We review and refine the practices and behaviors to make the optimal use of your time and energy and expand your career potential.
Program Results
-
![]()
Career Advancement
A newly promoted Compliance Professional elevated their executive presence and leadership by strengthening strategic relationships with key stakeholders which accelerated their eligibility for an equity award. During this process, the Compliance Professional also enjoyed an improved personal life.
-
![]()
New Firm
A Compliance Professional joined a new firm with a new business model and was able to acclimate to the culture, leadership team, and their new managerial role in a way that authentically demonstrated value in the short-term. The Compliance Professional is on a career path to a C-level role within a year.
-
![]()
Role Expansion
A Compliance Professional had to quickly adapt to organizational changes and assumed expanded responsibilities. They achieved strategic and tactical objectives and expanded their regulatory and operational skillset, ultimately elevating into a managerial role.
Watch the Informational Session
Video 1 of 3
Video 2 of 3
Video 3 of 3
1-2-3 Guarantee
If you think the Effective Compliance Program is right for you, but you are risk adverse and prudent in evaluating opportunities, we offer a “1-2-3” guarantee.
Attend 1 training session and participate in 2 coaching sessions, and if after these 3 sessions you do not wish to continue the program, we will refund you for all remaining training and coaching sessions.
Full disclosure, we provide a pro-rata refund. We are compliance professionals, after all.
Is the Program Right for You?
The Effective Compliance Program is designed for compliance professionals of all experience levels and across all industries. The program is about compliance as a profession and skillset.
The program will benefit compliance professionals who want to:
Expand career opportunities, both vertically and horizontally.
Continue their professional growth and development with a structured and purposeful plan.
Lean into their strengths and really shine in their role.
Feel that they have enough time, energy, resources, or bandwidth to be truly effective.
Reduce the uncertainty about whether their compliance program will be deemed “effective.”
Benefit from the support and insights from a peer-partner who knows firsthand about the challenges of being a compliance professional as well as the solutions.
Tilt their personal risk-reward profile to decrease risk exposure and increase their reward potential.
Invest in Yourself
The Effective Compliance Program is a 9-month training program that consists of:
Personalized Assessment and Development Plan
Live Online Training Sessions (7 Sessions, each 1 – 2 hours in length)
One-on-One Coaching Sessions (8 Sessions, each 45 – 75 minutes in length)
Weekly Guidance and Communication
Access to Tools and Resources
On-Demand Support (within 24hrs)
Program Cost: $3,500
FAQ
-
Training sessions are recorded and available for on-demand viewing.
Coaching sessions are scheduled one-on-one.
-
The program lasts 9 months and will take approximately 3 hours per month.
Training sessions are from 1 – 2 hours each (approximately 10 hours in total).
Coaching sessions are 45 – 75 minutes each (approximately 8 hours in total).
Activities and exercises may take 1 hour per month (approximately 9 in total).
-
No. Since the Effective Compliance Program is personalized to your skillset and situation, it is adaptable for all levels of experience.
-
Yes, and we can customize certain aspects of the program accordingly.