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Client:
RIA (Registered Investment Advisor)
Engagement:
Assist client in developing a Firm Element training program to meet the requirements as mandated by the SRO (Self Regulating Organization).
Deliverable:
Interviewed registered sales and support staff to identify needs and interests. Coordinated these efforts with the Compliance department to include "red flag" topics. Based upon our findings we created a 15-topic study guide that provided a detailed perspective on behavior deception risks associated with the securities industry. Provided sales management, sales staff, and operations with the signs to look for in the fight to combat fraud and money laundering.
Developed a fraud awareness campaign including a self -paced study with business scenarios where the deception was either not clearly evident or not existing and asked, "What would you do?"
Result:
Increased alertness to potential fraud and money laundering at the firm. Managers communicated the idea that fraud awareness is every employee's business and that the cost of fraud impacts the entire firm.
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Advisory
