Elevating a Global Compliance Team Through Education



A global mutual fund adviser headquartered in Boston asked ReGroup to help develop and deliver an onsite educational conference for 80 of their senior compliance executives from across the globe.

Senior management recognized that the staff members in different offices globally were working with vastly different realities and priorities, and were unsure of the extent to which their messaging had penetrated various offices. Therefore, they wished to use the event to reinforce key leadership messages and global goals.  


First, ReGroup designed and conducted an attendee survey designed to confirm the extent to which global offices had understood or implemented key leadership messaging.  Executive management was surprised and pleased that the survey results showed nearly all staff worldwide were already incorporating much of their agenda.  In addition, the results suggested key concerns that were not addressed by the initial agenda.  With such broad adoption confirmed, we were able to significantly adjust the content of the offsite to focus on next steps and attendee concerns.  

Second, we assisted in developing a conference agenda and format designed to educate and inspire compliance executives from around the world.  

Third, we facilitated a portion of the conference, including the following:

  1. Interview with firm's new general counsel regarding his path to the office and what inspires him;
  2. A facilitated participant Q&A session with senior line executives who were key clients of compliance about their need and expectations;
  3. Presentation of The Trusted Adviser's Toolkit, with a specific emphasis on corporate ethics; and
  4. Presentation of Negotiation Skills for Compliance Professionals for a break-out group of selected participants.


With better insights about their global team of compliance experts, executive management confidently shifted the focus of the conference to more targeted and resonant content. Our facilitation of the conference allowed senior compliance professionals from headquarters to participate alongside their global counterparts.  Attendees from multiple cultures were engaged and participated at a high level, knowing that their concerns had been incorporated into the agenda.  The often difficult role of compliance around the world was recognized, communication between locations increased, and participants left feeling inspired by the new management's commitment to compliance.

The most effective educators are those who teach from experience in a similar setting. ReGroup marshaled deep experience in the investment management industry to provide practical, actionable advice that resonated with seasoned compliance professionals across the globe.
— Maureen M., Vice President and Chief Compliance Officer