Welcome to the investment compliance team orientation
Understand company's culture, values and policies
Familiarize with the compliance management system/platform
Set up work environment, such as email, system login and necessary software installation
Understand roles, responsibilities and career advancement opportunities within the Compliance Department
Attend investment compliance regulations and guidelines training
Introduction to the Compliance manual and review of procedures document
E-signing acknowledgement of company confidentiality agreement
Approval: Acknowledgement of confidentiality agreement
On-the-job training with a senior Compliance Analyst
Understanding the investment types(i.e., different securities, asset classes) and regulatory standards for each type of investment
Training on using compliance software to monitor investment guidelines and restrictions
Introduction to risk management and mitigation strategies
Understand the process of drafting compliance reports and auditing documentation
Approval: Mock compliance report
Introduction to transaction review procedures
Attend ethics and compliance behavior training
Approval: Behavior training
Understand the process of working with internal and external auditors
Final assessment on knowledge related to the role
