Hello all - just got started in training as a full time IB analyst at a BB. I've been going through hours and hours of compliance training for "Development" and at this point, I'm past trying to read or understand any of it, because I feel like most of it is irrelevant for my job and has more to do with the retail banking or back office functionality.
My question is - how much do you full time guys focus on actually reading any of the compliance and "learning" vids? Will I be taught the need to know stuff about the PATRIOT act and regulation K on the desk, or should i really know it now? Thanks.
just pass the test at the end...its all just common sense anyway nobody worries about this stuff...but you have to pass the test...and don't do anythig stupid.
this stuff is generally irrelevant for junior people....but for senior guys, they run into these situations a decent amount...i've had more than a few occurrences where i had to consult with a compliance lawyer to check if what a client wanted to do was legal.
So if I ever run into anything that I have a question about, just ask the associate? Everyone says don't do anything stupid, but hindsight is always 20/20 after doing something stupid but not before... how do you recommend avoiding doing something dumb at the analyst level
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