Training and Mentoring
It can be challenging for firms to stay up-to-date with current trends, best practices, and changes in rules and regulations. Our team at Core Compliance & Legal Services, Inc. ℠ (“Core Compliance”) is composed of former in-house CCOs, regulators, and compliance professionals who have extensive compliance experience. Each senior team member has built a strong reputation as a thought leader in the compliance industry, and many of our consultants regularly present at national conferences and webinars.
Our consultants are passionately dedicated to sharing their knowledge and building strong relationships with our clients. They have years of experience mentoring and training compliance personnel, marketing teams, and senior management. Our training and mentoring services are customized to your firm’s needs. We offer both focused training and firm-wide compliance training to give your personnel the knowledge and resources they need to navigate this complex space.
Learn More About Our Personalized Training and Mentoring Services
Core Compliance
can help you with:
- Annual Compliance Training
- Focused Training on Specific Compliance Areas
- Mentoring Compliance Personnel & New CCOs
- Firm Element Compliance Training
- And Much More
Resources
Related Articles
October 24 – 26, 2023 | Philadelphia, PA | Speaker: Michelle L. Jacko, CSCP, CEO Core Compliance has published a number of items on the North American Securities Administrators Association Investment Adviser Representative Continuing Education Model Rule over the past few years and, in light of some recent activity among various states adopting the … Read MoreSchwab IMPACT 2023 | How to Comply with the Latest SEC Rules and Prepare for Year End
Update on State Adoption of NASAA’s IAR CE Model Rule