Speaking Engagement: NSCP Mid-West Regional Conference

Written By Brandon Klerk

Join Brandon Klerk, founder of Halyard Compliance LLC, on May 7th at the Federal Reserve Bank of Chicago for the National Association of Compliance Professionals (NSCP) Mid-West regional conference for two panel discussions, Essential Compliance Skills and Managing Broker-Dealer Regulatory Examinations.

Essential Compliance Skills

  • Communication

  • Achieve business “partner” status

  • The art of why not versus cannot

  • They have a question, but I don’t know the answer; how not to lose credibility

  • Your role in helping management understand compliance risk

 

BD – Regulatory Exams

  • Current exam priorities:  What regulators are looking for

  • Preparing for the exam and responding to the exam requests

  • Demonstrating your Culture of Compliance and an effective control environment

  • Preparation and management of the entire exam process

  • What to expect for an exit interview and resolving deficiencies

Brandon Klerk https://www.halyardcompliance.com
Previous

Speaking Engagement: FINRA National Conference