Approach

Setting the company up for success, not failure.

John’s goal is your company’s success. The best policies in the world are worthless if they aren’t realistic or the company can’t execute them. With less and less room for error in the current regulatory environment, John strives to set his clients up for success by listening and having respect for the things each client is already doing well. There are a lot of ways to achieve compliance. By playing to the strengths of your firm, a successful and implementable compliance program is fully possible.

Communicating with every level of the organization.

Everyone within an organization, from the board of directors to frontline employees, is responsible for compliance with laws and regulations. John’s unique past experience in both the operations and legal departments at financial services firms have provided him with the ability to bring employees together to achieve compliance success. Whether presenting plans and recommendations to a board of directors, or collaborating with point of sale employees, John builds consensus around compliance to achieve a successful and fully operational compliance program.

Assessing the risk.

The only time a company’s compliance risk goes to zero is when they stop doing business. It is crucial that the company understands the compliance risks and tailors it’s compliance program to it’s business model. By collaborating with senior managers and a wide cross section of business departments, John provides creative solutions tailored to each company’s specific needs.

Understanding each organization’s compliance officer as a hybrid – a thinker and a doer.

In each organization there are thinkers and there are doers. The compliance officer is a hybrid of thinking and doing: a thought leader and an executor of policies, procedures and training. They often play many other complex roles in the company and are pulled in many directions. As a senior manager they are required to help the company achieve financial success while balancing the ever increasing demands of the current regulatory environment. John himself has held this unique and dynamic position. He understands the goals and challenges of the compliance officer and can help them navigate the complicated path to achieving optimal compliance within the organization.