Finra wharton program

You make incredible friendships over the years and not just networking and business relationships, but great friendships. It gave me a sense of excitement and it broadened my horizons about what the industry was all about. My role in both companies involves understanding the major trends shaping the industry, and working with the wealth management firms to see how these trends impact their business.

The relationships I developed with like-minded leaders have broadened my network. One course I took twice was on executive influencing. You do things to influence others instinctively but a program like this allows you to put those concepts into a framework and a discipline. Influencing skills are important when you are driving innovation and change.

I absolutely will apply what I learned at Wharton in my workplace. International Travel Information ». Skip to content Skip to main menu. The Challenge How does a traditional, not-for-profit financial industry regulator find a way to break down silos within its organization while building leadership and critical-thinking skills for its high-potential managers? Download PDF. Faculty tailor the program content to address the strategic compliance issues facing the industry, so participants enjoy a learning experience that truly resonates with them and meets their learning needs.

Participants leave the program with an expanded peer network, critical insights, and best practices they can apply to their roles as chief compliance officers and managers. Skip to main content. Important: This course is expired. Fisch says the program has evolved to meet the increasing complexity and globalization of the compliance industry — an industry that serves both retail investors and the most sophisticated of institutional players.

In addition to live case simulations and an assessment, the program will cover all the major challenges facing brokerage and securities industry, including:. Prospective candidates are encouraged to visit the FINRA website to determine if the program curriculum meets their needs. FINRA is dedicated to investor protection and market integrity through effective and efficient regulation.