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Sales Compliance Training for Bank Investment Representatives
Bank Investment Representatives have been traditionally trained to know the rules, what they are required to say, and what they should not say. Incorporating them into the sales process is the primary concern of sales and compliance management. To assist financial institutions in this area, TMC Group has developed Sales Compliance Training workshops that provide definition, understanding and application of effective compliance practice for the bank environment. The need for disclosure, documentation, consistency, and cooperation with management are the core of effective compliance practice and are the focus of this workshop.
Major components of the program include”
- Understanding customer relationships vs. compliance
- Defining your obligation for disclosure and suitability
- Building effective compliance practice into sales presentations
- Case studies
Workshop Objectives:
As a result of the workshop, both sales personnel and their supervisors will develop a better understanding of regulations, greater comfort with compliance issues in the sales process, and the ability to integrate key compliance issues into the sales process.
Sales Compliance Training for Bank Investment Representatives is a one-day program with follow-up available upon request.
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