Category: Compliance

Q&A with Nicole Tarasoff

Interactive compliance training presents: Q&A with Nicole Tarasoff Nicole Tarasoff is a writer-turned-compliance officer living in the San Francisco Bay Area. After graduating from Arizona State University with a BA in English, Nicole found herself working in the financial sector as a risk analyst, where she developed an unexpected passion for simplifying the language of compliance.

Why do you need competition law training?

Back in 2013, the European Commission fined a group of six high-profile financial institutions for "participating in cartels in the interest rate derivatives industry,” according to  a European Commission press release. Eight firms were initially fined, with two ultimately escaping punishment, for rigging financial benchmarks of the London interbank offered rate (Libor), the Tokyo interbank offered rate and the euro area equivalent (Euribor). The derivatives are used to manage the risk of fluctuations in interest rates and are pivotal to the global economy.

Rolling Out a Global Compliance Training Program

Organizations are exposed to greater compliance risks than ever as the pace of globalization quickens, the global regulatory environment grows more complex, and customers and shareholders become more demanding.

Can Compliance Awareness Save The Holiday Season?

With the holiday season in full swing, we’re all thinking about decorations, gifts, cards, holiday parties, and anti-bribery and corruption law. No? Not everyone? The festive season is a great time to celebrate and show appreciation for your colleagues and customers. Who doesn’t appreciate a nice gesture in the spirit of giving? But, hold your reindeers - of course there’s a catch. Nobody wants to be the office Scrooge, but it’s our responsibility to ensure that our organizations are mindful of the risks associated with gift-giving – even during the holiday season.

Compliance Training: Using Storytelling to Enhance the Learning Experience

What if compliance training could not only be a necessary and essential means of protecting organizations and employees, but also an exciting learning opportunity? Compliance training courses don’t have to be dull. Despite their bad rap in the past, there are plenty of ways to liven up the material and present it in a way that motivates and even inspires your employees. With new elements like eLearning visual design, courses can now engage learners through visually appealing designs and powerful content. The key to making these courses both interesting and informative is their presentation and delivery.

Q&A With Jeffrey Langa (BNP Paribas)

Interactive compliance trainingpresents: Q&A with Jeffrey Langa Vice President, Compliance Training, BNP Paribas Jeffrey Langa is the Americas Compliance Training Manager at BNP Paribas. He is responsible for the creation, development and execution of the Annual Training Plan throughout the region. He further chairs a monthly Training Council meeting with the training leads in the Americas region. Jeffrey is a former regulator having worked at FINRA for 6 years, and has been working in Compliance for over 15 years. Prior to Compliance, Jeffrey was an Institutional Sales Trader for 6 years as well. Q1.

Six Top Compliance Training Trends for 2019

With 2018 coming to a close, we have compiled a list of the new necessities for compliance training. It would be ill-advised to make your business’s next move without a plan based on what is offered, as well as what is needed. Businesses must supply employees with compliance training that prepares learners for their day-to-day roles, and not just training for the sake of training. It is important to step into the new year fully prepared to meet your compliance training needs by knowing the top six trends for 2019:1.

Tracking your Compliance Training Program – What Your LMS Needs to Do

As most compliance functions already know, an effective Learning Management System (LMS) is key to administering an effective compliance training program. Often times, an LMS isn’t used to its full potential. In this article, we examine not only why having an up-to-date and adaptable LMS is so important in ensuring organizations remain compliant with relevant laws and regulations, but how valuable LMSs are when it comes to compliance tracking and analysis. Enrollment and Recertification Many states and industry regulators require new employees to undertake certain compliance training programs within a specific time period after starting.

Stripping Your Organization of Unconscious Bias

In April of 2018, a Starbucks manager in Philadelphia called the police because two black men were sitting in the store, and one had asked to use the bathroom before making a purchase. The men, who had been waiting for a friend, were arrested and later released without charges. After days of national protest and outrage, Starbucks apologized for the incident and announced it would close more than 8,000 U.S. stores for racial bias training for its nearly 175,000 employees.
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