Compliance is everyone’s responsibility. Designed specifically for client service professionals, operations staff, and advisor support team members, this practical online course provides the knowledge and awareness employees need to confidently navigate the compliance expectations of today’s financial advisory firms.

Through real-world examples and relatable scenarios, participants will learn how everyday actions can either reduce risk or create unintended compliance concerns. Topics include protecting Personally Identifiable Information (PII), communicating appropriately with clients and colleagues, avoiding misleading statements, adhering to firm policies and procedures, understanding the boundaries of their role, and recognizing when to escalate issues to a supervisor or compliance professional.

Rather than focusing on regulations in the abstract, this course emphasizes practical application and sound judgment in the situations employees encounter every day. Participants will leave with a stronger understanding of how their role contributes to protecting clients, supporting advisors, and maintaining the firm’s reputation.

Tuition: $49.00

Study Time: 90 min

Format: On-Demand / Self -Paced