United Atlantic Legal Services wanted to pass along this note from FinProLaw. Good luck to all you new Chief Compliance Officers out there!
Congratulations! If you are reading this you have likely either recently accepted the position of Chief Compliance Officer or being considered for such a position. For many, this designation represents a significant milestone in professional development. For others, being designated a firm’s Chief Compliance Officer comes with feeling of anxiety and uncertainty. Whether you’re reaching for the Champaign or the Xanax, we encourage you to take a moment, take a deep breath and reflect. What exactly are you about to get yourself into?
- Do you really know what the role of Chief Compliance Officer really means?
- How well do you know the firm you are joining?
- How will you manage your new team (or all the work on your own)?
- Do you understand the ramifications of failure as Chief Compliance Officer?
- Are you prepared to defend your new firm’s compliance program during a regulatory examination (or, even worse, during a deposition)?
- Is this really what you want to do with your career?
FinProLaw has created a 10-week course for new Chief Compliance Officers to help work these issues and many more. The course is designed to help new Chief Compliance Officers consider many non-technical questions that a Chief Compliance Officer will have to manage as they begin their new careers.
The New Chief Compliance Officer course focuses on making a technical compliance professional a leader, an expert and a human. Learn how to avoid becoming the “No Department” while never becoming a “Yes Man”. Be a valuable resource to your team members and other executives at your new firm all while finding meaning and purpose in what you do.
By taking this course you will become a stronger, more resilient, leader who can confidently navigate “the other side” of being a Chief Compliance Officer.
About the Author
Michael Rasmussen is the founder of United Atlantic Legal Services. He is a licensed attorney in Florida and registered solicitor in the United Kingdom. Michael has acted as General Counsel and Chief Compliance Officer to several investment advisers, including private fund managers, responsible for the management of billions of dollars in client assets.
Michael is also the founder of FinProLaw, an online learning platform where Michael has created courses designed for investment adviser compliance professionals. These courses include:
- Investment Adviser Compliance Essential for Chief Compliance Officers
- Foundations of Investment Adviser Compliance
- What is a “Security”?
- Investment Adviser Marketing Rule
- Regulation A – Exemption from Registration
- Regulation Crowdfunding – Exemption from Registration
- Regulation D – Exemption from Registration
Michael can also be found on LinkedIn.
Investment adviser firms who are also clients of United Atlantic Legal Services can receive many of these courses at a significantly reduced fee or, in some cases, at no expense. Contact us today or visit the FinProLaw to learn more.