Tuesday, October 29, 2024
8:00 a.m. – 5:30 p.m. CT
In-person Event
Omni Dallas
555 S Lamar St
Dallas, TX 75202
The National Society of Compliance Professionals will host its National Conference at the Omni Dallas beginning on Sunday, Oct. 27. NSCP is a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the financial services industry with a wide range of resources.
Warner attorney Andrea McGrew will participate on the panel “Effective Supervisory Programs for Smaller Firms” to discuss designing and implementing supervision programs in smaller firms considering the evolution of technology and available resources. The session will offer guidance on a variety of topics, including:
- Learn how to develop a supervision and surveillance plan that is flexible but addresses core supervisory elements, including how to measure the effectiveness of your supervision practices.
- Establish a disciplinary framework which outlines escalation of supervisory issues/risks.
- Understand the effectiveness of allocating resources based on a risk-based framework.
- Leverage technology as a tool to help supervise and utilize surveillance results to understand early warnings of supervisory issues to inform priorities and remediation efforts.
The NCPS National Conference is a four-day event held at the Omni Dallas. In addition to dozens of educational and information sessions, guests will have the opportunity to network with compliance peers during breakout sessions, meals and evening events.
For more information, please click here.
