2a. ALL - Building your Compliance Team (Intermediate - OPEN)
Building and maintaining a compliance department that will uphold a culture of compliance is one of the most important strategic decisions a firm will make. Now, compliance roles are in high demand and there are many things that firms and compliance hiring managers should consider when they add to their team. This session will enlighten hiring managers on effective approaches to recruiting.
This session is open to regulators but closed to members of the press.
Learning Objectives:
Share initial practices such as designing job postings, tapping into diverse recruiting channels, the use of a recruiter, and understanding common privacy and employment law considerations and regulations for recruiting.
Discuss effective interviewing practices to acquire well-rounded talent and interview questions that can be scaled up or down, for junior to senior roles.
Outline an on-boarding process designed for employee and company success, including conducting conflicts checks, new hire training for compliance professionals, and setting up ongoing supervisory controls and employee expectations.
Provide guidance to team members on how they can set themselves up for success to advance in their careers.
