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Book details
  • Genre:BUSINESS & ECONOMICS
  • SubGenre:Banks & Banking
  • Language:English
  • Pages:92
  • Format:Hardcover
  • Hardcover ISBN:9781543992755

Strategies For Success

A Roadmap For The Compliance Professional in Financial Services

by Tanya McCartney

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Overview
This book is for persons who are in a compliance, anti-money laundering position, engaged in any way in the fight against financial crime or responsible for regulatory compliance. It is a practical guide for the compliance professional to aid in navigating the challenges which they face daily in risk management and mitigation. It is an effective resource that can be used when having to make difficult decisions or engaging in challenging conversations with colleagues. It should be your go-to when faced with a leadership challenge in your role. A quick reference guide for compliance professionals in financial services. Sharpen your skills to perform roles and responsibilities as it relates to the compliance function. This resource is a useful and strategic guide for individuals wishing to enter the compliance field and for those desiring to excel within the field. It answers the "how" in becoming a strong compliance leader and will assist with executing your mandate while cultivating the respect of your peers and those in the regulatory environment.
Description
The role of the compliance professional in the financial services industry is of critical importance. It can make the difference between having a licence to facilitate business and being caught in a scandal which threatens the very survival of a firm. Financial instutions are mandated by law to have qualified persons serve in senior leadership positions such as the BSA Officer, Money Laundering Reporting and Compliance Officer. These roles require technical competence with a clear understanding of the law and regulations, company policy and procedures as well as global trends impacting the business. Equally important are the key leadership skills needed to succeed in such a role. Technical skills are simply not enough. A successful compliance professional is a leader who can build relationships, inspire a team and add value in the creation of a culture of compliance. This book is for persons who are in an anti-money laundering position, engaged in any way in the fight against financial crime or responsible for regulatory compliance. It is a practical guide for the compliance professional to aid in navigating the challenges which they face daily in risk management and mitigation. It is an effective resource that can be used when having to make difficult decisions or engaging in challenging conversations with colleagues. It should be your go-to when faced with a leadership challenge in your role. Sharpen your skills to perform roles and responsibilities as it relates to the compliance function. This resource is a useful and strategic guide for individuals wishing to enter the compliance field and those desiring to excel within the field. It answers the "how" in becoming a strong compliance leader and executing your mandate while cultivating the respect of your peers and those in the regulatory environment.
About the author
The author is a UK trained barrister, chartered banker and certified anti-money laundering specialist. Her expertise spans twenty-five years in the legal and compliance field in both the public and private sector. She has served in senior executive and regional positions with a major global Fortune 500 financial institution. Tanya is a highly sought after speaker, coach and mentor.
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