Knowledge Is Power
A successful compliance program starts with your people.
Timely, relevant and informative training is key to actively engaging staff in a culture of compliance.
GMAG’s consultants have developed and led training programs on compliance and market structure issues for major banks and broker-dealers. Our professionals can help enhance your firm’s culture of compliance by training your team.
Effective compliance starts with a knowledgable compliance staff. GMAG’s professionals have years of experience as front-line compliance staff. We can provide comprehensive training on the full range of skills that compliance staff need, from communication skills to unraveling and making sense of complex trading abuses, to everything in between..
The pace of change in the financial markets can be dizzying, and can be overwhelming to keep up with, especially when staff functions are “siloed” for efficiency. GMAG’s professionals have deep experience as operations, trading, regulatory and compliance professionals. We can provide training on a variety of market structure issues, to help your compliance staff stay nimble and alert to new issues.
The ability to move operations the public cloud lets financial institutions access an array of computing tools that weren’t previously available or affordable – including instantly scalable capacity, more efficient storage of data, new analytical capabilities, and a highly robust security environment. But these new opportunities bring with them new compliance challenges, and updated twists on the old way of ensuring compliance. GMAG’s professionals have worked closely with cloud service providers to understand the technology and related regulatory issues. We can help your compliance staff understand what public cloud is, how it works, and how it will affect their workloads.
The past few years have seen an exponential increase in the amount of data available to financial institutions (and their compliance teams), and the development of ever more powerful tools to manipulate and analyze the data to uncover useful patterns and trends. GMAG’s professionals have deep experience with data analysis and market surveillance, and with using data to inform compliance decisions. We can train your compliance staff on how to effectively unlock information that may be lurking in your data, and use that information to improve your compliance program.
Effective analysis of data starts with understanding what data you have, where it lives, who owns it, and who can access it. It also requires clear guidance and policies on data governance, to make sure that you retain appropriate oversight and control of your data. GMAG’s professionals have deep experience developing data governance strategies. We can train your team on how to get their arms around, and keep an eye on, your firm’s data.
GMAG was invited to provide training to a leading CSP’s financial services sales team on compliance and cloud migration. This course covered the various regulatory and compliance considerations of financial services firms migrating applications and processes to the cloud (private, public, and hybrid). This included observations on hurdles to cloud adoption, and potential solutions for cloud service providers to address firms’ reservations.
GMAG is currently developing a comprehensive compliance training program for the US compliance team at a major international investment bank. This 60-hour in-class program provides an in-depth look at a broad range of financial topics designed to equip compliance professionals with cross-functional knowledge and insights.
GMAG’s professionals have partnered with the New York Institute of Finance to provide market structure training to international clients in China and the US, including an overview of the US equities markets and high-frequency trading.
GMAG is partnering with Fitch Learning to develop and roll-out a worldwide training program for compliance professionals at a major international bank on investigative and other compliance-specific writing and presentation skills.
GMAG professionals provided training to the board of directors of one of the largest stock exchanges in Africa regarding the process for setting regulatory policy and drafting rules for the market, as well as the benefits and regulatory considerations around exchange demutualization.
Working with the NYIF, GMAG professionals developed and delivered in-depth training to the Nigerian Pension Commission on public infrastructure investment, including public-private partnerships, private equity investments, valuation, and related topics.