Spring 2017 Compliance Conference: Managing Uncertainty :: Pre-Conference Workshop
Spring 2017 Compliance Conference: Managing Uncertainty
Gaylord Opryland Resort, Nashville, TN May 1 - 3 2017
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Pre-Conference Workshop: 
Managing Your Resources in Unsettled Times

Sunday, April 30  2:00pm – 4:00pm
Register now to secure your place at the pre-conference workshop.  Seating is limited.

Maximum Recommended Credit Hours for Attending Pre-Conference Workshop
CA MCLE = 2.0 (based on a 60-minute hour)
CFP = pending approval (based on a 50-minute hour)
IACCP = 2.0 general (based on a 50-minute hour)
CPE = 2.0 in the Regulatory Ethics field of study (based on a 50-minute hour)

Obtaining and effectively deploying compliance resources is a challenge in the best of times.  Over the past twelve months, compliance professionals in firms of all sizes have had to prepare for sweeping changes without being able to predict with reasonable clarity if, how or when these changes would have to be accomplished.  A compliance professional’s need to master the basics of planning, budgeting and resource deployment has never been more crucial.

This workshop will look beyond specific rules to examine methods of anticipating and planning for change when the scope and timing of that change are uncertain.  You will hear nuts-and-bolts discussions of developing budgets for personnel and other resources, leveraging resources outside of compliance, and creating and adapting expectations in chaotic times.

Learning Objectives:

  • Increase your participation in your firm’s budgeting and planning process

  • Interact with other departments to prepare for different contingencies, identify common needs and share resources

  • Provide all levels of the firm with best-case, worst-case and probable scenarios of upcoming events


  • Broadridge
  • Chicago Clearing Corporation
  • Starkweather Shepley
  • TD Ameritrade
  • Vertafore
  • Global Relay
  • Great Conference - as always!
    Laura Hawkins, Managing Director, Winslow Capital Management
  • This was my first conference and found it beneficial and will be attending more in the future
    Diane Murphy, VP/Compliance Officer, Global Trust Company
  • I highly reccomend NRS.  The programs they offer are the best in the industry.
    Joan Marie Asher, COO/CCO, Moody Alrich Partners
  • This is the third NRS Conference I have attended.  All have been very good, but this one was terrific.
    Annette Bradley, CCO, Davidson and Garrard, Inc
  • Good program, very informative
    Taylor Brewer, Comptroller, LD Lowe Weath Advisory