Effective Compliance for senior officers is not just about technical knowledge, but also about effective communication – spreading the word to the business. Above all, it requires the engagement and understanding of senior management. This module considers how to achieve the confidence of senior management, how to work with them (but to disagree with them when necessary) and how to use their influence to convey the right message throughout the firm.  The module also considers how to get that message across. The effectiveness of Compliance training is of paramount importance and participants will benefit from the practical tips and advice contained in this module.

Of equal importance is the need for a firm to have effective corporate governance. Compliance Officers increasingly have a role to play in assessing this and liaising with regulators on governance issues. While it is difficult to prescribe a specific, universal governance structure to fit all types of firm, this module will discuss the appropriate outcomes for an effective governance structure and provide Compliance Officers with the tools to work with management in achieving this.