Training, Workshops & Retreats

“…[A]ll organizational problems are fundamentally problems involving human interactions and processes.  No matter what technical, financial, or other matters may be involved, there will always be humans involved in the design and implementation…A thorough understanding of human processes and the ability to improve such processes are therefore fundamental to any organizational improvement.”   Edgar Schein

Compliance Staff                                              

Training in analysis and application of compliance principles.  Work with employees to understand the requirements and implement them appropriately in light of your firm’s policies, procedures and culture. Individual or group training available.

Communication & Conflict Management

Skills training for supervisors and employees.  We teach basic conflict management principles and help participants learn new ways of navigating difficult situations, beginning with an accurate assessment of what the problem is and the best way to approach it.  The goal is to keep conflict–which is inevitable in any organization–at manageable levels and avoid either paralysis or escalation.

      Workshops for Financial Advisors

Half-day workshop focused on identifying ideal clients, clarifying services and competitive advantage, and aligning strategy with practice.  Where the firm is able to provide appropriate revenue data, may also include review of profitability metrics.

Team Retreats

For executive teams or firm departments.  Work through process improvement or other business problems with the assistance of a skilled consultant.  Take the necessary time to build connections among team members and focus effectively on strategic direction.  Provides structured assistance to address communication issues, trust development, and conflict management.  Learn methods for thinking more strategically as a group while developing consensus about future direction. The use of a trained third-party is particularly important when trying to improve overall performance and remove long-standing obstacles to success.

Ethics Workshop

Experiential workshop focused on developing personal responsibility for ethical behavior.  This is not a superficial presentation of “good” behaviors versus “bad” behaviors, or a simple exhortation to “do the right thing.”  Rather the workshop helps participants identify the main areas where ethical issues arise and develop competence in naming the dilemma and determining a way forward.  It focuses on the difficult choices that confront financial services professionals every day. Includes case studies, skills training, and opportunities to reflect on the participant’s own experience and consider how ethical issues might be handled differently in the future.