Compliance Monitoring and Testing

OVERVIEW

Course Description:

This session will explore practical and examiner-informed framework for building a modern compliance monitoring and testing program that goes beyond “check-the-box” reviews. We’ll discuss the foundations to establish, implementing and maintaining an effective testing and monitoring program. The discussion will also cover where firms most commonly fail to detect risk in time, and how firms can redesign testing programs to identify hidden vulnerabilities, challenge assumptions, and produce defensible evidence of oversight. Attendees will gain actionable insights to strengthen their own monitoring and testing practices.

Learning Objectives:

After completing this session, attendees should be able to:

• Explore how firm size and structure shape effective monitoring and testing programs.
• Examine technology driven, manual, and hybrid approaches to strengthen compliance oversight.
• Recognize common indicators of ineffective compliance programs.
• Apply an inspection-oriented mindset to compliance oversight.

Speakers

Coming soon!

Who is this for?

For Whom: Designed to increase the professional competence of investment adviser and broker-dealer professionals with legal, compliance, operations, technology and management responsibilities.

Suggested Skill Level: Intermediate

Instructional Method: Live – Online Session

Pre-requisites for participation: No prerequisites are required.

Advance Preparation: None

Continuing Education Credits Comply Continuing Education Guide

Recommended CPE Credit: 2 in the Regulatory Ethics field of study

Recommended IACCP® CE Credit: 2

Recommended CA MCLE Credit: 2