An important function for compliance officers is to provide advice to senior management on regulatory and compliance matters. This session will address a range of options when the compliance officer is not completely satisfied with the decisions of senior management.
• Discuss the range of options and best methods for escalating compliance matters
• Learn ways to manage the politics of escalation when there are disagreements
• Know when to advocate, build consensus, meet with the Board of Trustees and seek external advice
• Weigh relevant decision-making factors and how to work through available options