Interpersonal Skills for Compliance Officers
Overview
Although the Compliance Function operates as part of the second line of defence in a firm, it is nevertheless essential to develop a positive and constructive relationship with Senior Management and the first line.
Compliance Officers need to be equipped to deal with individuals who have stretched revenue targets and a strong desire for commercial success.
Commercial success depends on a balance of revenue generation and the need to do business in a compliant, sustainable and socially acceptable way. This can lead to intensive discussions with business heads and Senior Management.
This course equips Compliance staff for such situations through a series of real-life scenarios and roleplay designed to reflect the daily challenges experienced by Compliance Officers, and is designed by Peter Haines, a former Compliance Officer who held Senior Executive positions within major firms.
Who is this for?
The course is designed for Compliance staff at all levels. Senior Compliance staff can refresh and improve their interpersonal skills and less experienced staff can develop those skills in the context of scenario-based training.
Learning Outcomes
After attending this course, participants should be able to:
- Adopt a posture that combines active listening to business needs, while being able to assert a firm stance
- Employ active listening techniques to ensure correct understanding and an ability to synthesise a complex concept
- Demonstrate polite assertiveness, effective influencing and negotiating skills
- Keep calm and professional when confronted with pressure and aggressiveness
With a view to:
- Strengthening their position of an effective and independent business partner.
Course Details
- The importance of interpersonal skills in Compliance
- Essential interpersonal skills for a successful Compliance Officer
- Communication and listening skills
- The case for appropriate assertiveness
- Questioning techniques
- Dealing with difficult Senior Management and staff
- Case studies
Delivery
All of CCL Academy’s public courses are delivered virtually using Zoom.
Firms with more than 5 staff to train have the flexibility to deliver training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.
Find out more about your Virtual or In-Person training experience below.
Virtual Delivery
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Additional Benefits:
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Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
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On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
In-Person Delivery
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.
