As the financial services industry continues to evolve and become more complex, it is essential that your firm has properly-trained compliance professionals in place to protect you from regulatory scrutiny. It is often challenging to find quality training curriculum to keep your compliance personnel up-to-date on the latest regulatory requirements. Red Oak can train your compliance staff on the duties and responsibilities associated with their particular compliance duties or provide guidance on an “as needed” basis.
Red Oak’s training services can help you ensure that your compliance staff has the breadth and depth of knowledge they need to execute your compliance program. Your staff will be trained by experienced industry professionals who understand the business, technology, and regulatory environment. The training they receive will be customized to meet your firm’s specific requirements. It’s a fact that a well-trained compliance team will help reduce your regulatory and financial risk.
Red Oak Offers Training in the Following Areas:
- Advertising and Website Compliance Senior Investors
- Business Continuity Anti-Money Laundering
- Regulation S-P (Privacy Policies) Books and Records
- Licensing and Registration
- Investment Product Features and Best Practices Sales Practices Violations
- Best Execution
- New Regulations
- Annual Compliance Meeting