Enjoy our pictures from the event and we hope to see you at SHRM New Orleans in 2017!
CEO, Alliance Worldwide Investigative Group, Inc.
Mario Pecoraro has just published a blog on
Applicant Tracking Systems!
Here is an excerpt:
Collaboration and efficiency are vital in your hiring and recruiting practices. But how do you accomplish that in the face of narrow timeframes, and increasing pressure from a considerably smaller selection of premium hires? Particularly when they are perfectly willing to abandon you in favor of a company that is willing to move quickly and pay more?
In the eight year aftermath of the crash, between 2008 and 2015, employers began to think they would be in control forever. There was a huge pool of qualified people that needed jobs, and employers had a leisurely time picking the very best candidates and, when combined with low-ball salaries, were accumulating talent like never before at huge discount prices.
There is no fee to register for this event which is geared for financial services and compliance professionals.
Mario Pecoraro, CEO of Alliance Worldwide Investigative Group, will team up with Business Partner, Steve Thornton, President of Thornton & Associates, LLC headquartered in Pasadena, California, to present a live webinar regarding “Onboarding & Compliance: What Investment Companies Should Know Before Making a Hiring Decision” on Tuesday, August 2 at 1 pm ET. The webinar, which will be hosted by the National Society of Compliance Professionals, is expected to draw approximately 700 participants. Topics covered include compliance with Financial Industry Regulatory Authority (FINRA) Rule 3110(e), a background check rule for investment advisor applicants that has recently been approved by the U.S. Securities and Exchange Commission. Pecoraro will discuss pre-hire compliance issues with Rule 3110(e) which requires that each member “ascertain by investigation the good character, business reputation, qualifications and experience of an applicant before the member applies to register that applicant with FINRA…” Mandatory and suggested background investigation searches will be discussed as well as how to know when a more in-depth search of public records in warranted.
Steve Thornton, who has over 20 years of securities compliance, auditing and accounting experience, will discuss post-hire issues including understanding compliance after the hiring decision is made and how to monitor the outside business activities of the new hire and their private securities transactions that could lead to conflict of interest concerns. He will also discuss the gray areas of onboarding and compliance including how to balance investor protection with advisor privacy concerns, understanding the relevance of a bankruptcy report (red flag or red herring) and referencing criminal findings in their proper context.
Privately owned and founded in January 2005, Alliance Worldwide Investigative Group, Inc. has grown into a national/international investigative firm, specializing in meeting the needs of corporate professionals on a global basis. In addition to our Background Investigation Division, Alliance has an Investigative Division specializing in Surveillance/Insurance Fraud, a Legal Support and Process Service Division through Avvocato Litigation Support International (Powered by Alliance) and a property/casualty adjusting service division through Streamline Claims Service Inc., (powered by Alliance).
Alliance Worldwide Investigative Group Inc. is headquartered in Clifton Park, New York with offices located in New York City and West Palm Beach, Florida.