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Events  |  04-18-23

Bates Compliance Managing Directors Kurt Wachholz and Hank Sanchez to Speak at NSCP Interactive Compliance Lab - April 18, 2023

Bates Compliance Managing Directors Kurt Waccholz, IACCP  and Hank Sanchez, Esq. (pictured above L-R) will be speaking on panels at the NSCP Interactive Compliance Lab on April 18, 2023, at the Fordham University School of Law in NYC. The Compliance Lab is a full day of in-person lab sessions designed to provide real life application through hands-on learning activities. The day will conclude with a networking reception. 

This event is not available for virtual attendance and is closed to regulators and press. Continuing Education (“CE”) credits available for attendees.

Event Details and Registration

Session Details:

Regulatory Change Management (Session 3a, 1-2:30 p.m.)

Featuring Managing Director Hank Sanchez, this session will help compliance professionals understand how to establish and maintain a regulatory change management program from communications plan and stakeholder buy-in to implementation of change. Attendees will be seated in working groups according to their firm’s size and will learn from knowledgeable facilitators, engage in small group discussions, share their thoughts and experiences through the use of case studies, group questions and hypothetical scenarios applicable to each session’s topic. Attendees will leave with practical and useful tools to apply in their workspace.

Influencing Change: Creating a Culture of Integrity and Ethical Leadership (Session 4b, 2:45-4:15 p.m.)

Featuring Managing Director and Compliance Practice Co-Lead Kurt Wachholz, this session looks at how compliance professionals can add value to their firm or organization by developing more than just the “nuts and bolts” of their Compliance & Ethics program. They must also be able to inspire leaders to model ethical decision-making in order to drive necessary culture changes. Compliance officers need to influence multiple stakeholders across the organization convincing them to accept accountability for managing the risks that can arise from their decisions and actions. To be effective, compliance officers need to continuously develop their ability—regardless of their level and authority—to drive these changes.

The following learning objectives will be met, using case studies, examples, group discussions, and other application activities:

  • Identify and explore leadership attributes and necessary skills to be an effective Compliance & Ethics leader
  • Discuss the fundamentals of behavioral ethics, including ethical fading and ethical framing 
  • Explore strategies for influencing colleagues’ decisions and behavior and overcoming resistance —whether they are peers, direct reports, or senior leaders—in order to drive culture change 
  • Facilitate strategic, cross-functional collaboration to support innovation, transformation, and value creation for the broader organization

Learn more about our comprehensive guidance and tailored compliance consulting.

Contact Bates Compliance today