Strategies for Success

A Roadmap for the Compliance Professional in Financial Services

Non-Fiction - Self Help
92 Pages
Reviewed on 12/10/2019
Buy on Amazon

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    Book Review

Reviewed by Lesley Jones for Readers' Favorite

If you work in the financial industry, you may be aware of the term 'compliance officer,' but what does it involve? There are many aspects of the role, such as researching, implementing and managing the financial regulations and laws of a company. They can also be the main source of contact with outside audit companies. Their attention to detail in the execution of their role is vital to the reputation of the financial industry in order to prevent criminal activity, including money laundering. Throughout Strategies for Success by Tanya McCartney, you will discover the competencies need to be a successful compliance professional. As a company evolves and develops, then it is the responsibility of the compliance professional to evolve too and train employees on new procedures. In recent years, the role has broadened to a more investigative and analytical one. You will learn the strategies and skills needed to become efficient and innovative in your role and develop the necessary skills to deal effectively in any given scenario. Being a compliance professional in today's financial marketplace requires the skills of a great leader and support to their colleagues, in order to avoid the risks of mitigation or financial criminality which could result in the downfall of the company.

Strategies for Success by Tanya McCartney is a concise and well-written guide on every aspect of financial compliance. There is an abundance of information and guidance that is relevant in today's financial marketplace. The role of a compliance professional is vast and varied but this guide delves deeper than just the professional qualifications needed. The author has examined the interpersonal skills that are required too. I thought the comparison between a manager and leader was interesting and made so much sense. If the compliance officer is to train members of staff on new procedures, then the personal skills needed are just as important as the professional qualifications. The bullet form style of writing makes it very easy to follow and understand. I thought the scenario section would be an invaluable help to anyone in the financial industry or for someone about to embark on a career as a compliance professional. A unique insight into compliance and the importance of executing the role correctly.

K.C. Finn

Strategies for Success: A Roadmap for the Compliance Professional in Financial Services is a work of non-fiction focused on self-help in the business and financial sectors, and was penned by author Tanya McCartney. Working on the themes of the cultivation of leadership and professional skills, this concise but in-depth guidebook focuses specifically on the role of the compliance professional. Where the fine lines can be drawn between what constitutes good business and what could later turn out to be a scandal, compliance and anti-laundering professionals are always in demand. This book enables those professionals to move beyond mere technical skills and into the realm of people management and personal relationships to achieve better harmony in their position.

Without knowing a great deal about the world of either finance or compliance, I actually found author Tanya McCartney’s guidance to be very informative, educational and accessible, even from a level of virtually no knowledge. McCartney explains the position well and introduces readers to the world of compliance before moving on to her main subject areas. The organization of the book itself is well laid out to flow with a definite chain of building knowledge from base to the finer points. I really liked the general ethos of the piece in terms of the importance of building interpersonal relationships and understanding people and their individual importance as part of the whole company. Overall, Strategies for Success: A Roadmap for the Compliance Professional in Financial Services is an excellent guidebook that is sure to help many of its readers.

Yvette R. Charlton

I am looking forward to an educational, inspirational and motivational read.
Great Job Tanya!!!