This course is designed to provide a basic overview of compliance, including its purpose, importance, and practical applications. Throughout the course, individuals will learn the essential components of compliance, including how to create a culture of compliance within the organization and the operational side of compliance.
The course is divided into three main sections, starting with an in-depth exploration of the purpose of compliance. Individuals will learn the fundamental reasons behind compliance regulations, including how they are meant to protect individuals and organizations. They will also examine the ethical considerations that guide compliance efforts.
The second section of the course focuses on creating a culture of compliance. We will explore the core values and principles that guide the compliance team and the organization as a whole. They will also learn how to embed compliance into the DNA of their organization, including effective communication strategies, training programs, and establishing accountability measures.
The final section of the course is dedicated to the operational side of compliance. Individuals will learn practical strategies for achieving compliance, including risk assessments, compliance training, policy and procedure development, monitoring and auditing, and reporting. They will also explore best practices for compliance program management and how to navigate complex compliance challenges.
By the end of this course, Individuals will have a basic understanding of compliance, including its purpose, importance, and practical applications. They will be equipped with the introductory skills and knowledge necessary to establish a culture of compliance within their organization and implement effective compliance strategies.
1 CLE Credit Hour:
AZ, FL, HI, IL, MD, MA, MI, NY, OH, SD, TX, UT, DC
Pending:
AL, CA, CO, GA, ID, NJ, NC, PA, VA
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Cat BonarCathryn Bonar is an accomplished Chief Compliance Officer who currently serves as the Chief Compliance Officer for Blockade United, a boutique legal and compliance operation dedicated to serving a family of blockchain companies. With a proven track record of success in creating and implementing effective corporate compliance strategies, Cathryn's expertise extends to developing blockchain compliance programs, drafting and revising company policies, and designing interactive sales compliance courses that promote ethical behavior and ensure regulatory compliance. In addition, Cathryn possesses extensive experience working with various regulatory bodies, including the FDA and the SEC. As a skilled leader with strong interpersonal and communication skills, she is able to build and maintain strong relationships with colleagues and employees. Her ability to create effective compliance communication programs, drive quality improvement, and identify and rectify weaknesses in compliance processes demonstrates her unwavering commitment to delivering impactful outcomes. In summary, Cathryn Bonar is a highly capable Chief Compliance Officer with a solution-driven approach to complex compliance challenges. Her ability to devise innovative strategies that meet the needs of any organization makes her a trusted partner and valuable member of any team.
