4b. ALL – Solutions for Small Firms: Doing More with Less


At small firms, “getting everything done” can be a challenge given staffing and budgetary constraints. This session will discuss practical solutions to help effectively implement compliance initiatives at small firms.
Learning Objectives:
• Learn how to demonstrate the need for compliance resources.
• Consider effective options and practical solutions for accomplishing compliance functions
• Discuss how compliance officers with multiple roles can effectively manage differing
responsibilities and establish clear lines of supervision
• Learn how to evaluate whether to outsource or automate compliance functions

Intermediate                        Program Level: Panel Date: November 8, 2021 Time: 3:30 pm - 4:45 pm

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