A New Type of Training for Securities Professionals

A new interactive, online training course for securities professionals from Wolters Kluwer Financial Services offers firms customizable tools for communicating compliance requirements to employees. “The interactive courses help provide confidence that the transfer of knowledge has occurred with each employee–something that can’t always be achieved through more passive educational tools or communications,” says Anna Monteiro, senior director of regulatory products at Wolters Kluwer. The platform offers tools to create customized portals for employees based on their individual needs, considering various factors such as business area, job role and location, for example. Each course evaluates employees by asking for their input and testing them on the information that’s presented. The learning management system covers an array of standard reports, which Wolters Kluwer says enable the compliance officer to actively monitor the progress and success of each employee. The courses cover various compliance topics, including money laundering prevention, conflicts of interest and ethical standards, among others. Write to Kelly Curran.

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