For CCOs By CCOs – How Chief Compliance Officers Mitigate BCP to Regulatory Change

In today’s world, Chief Compliance Officers and compliance teams are experiencing many unexpected challenges. This is in addition to the ongoing responsibilities of administering your firm’s compliance program, submitting timely regulatory filings and addressing regulatory change. View CSS’s ComplianceCast webinar to learn how to meet these challenges head-on. This is for CCOs by CCOs. Our panel will be hosted by CSS’s team of former Chief Compliance Officers, all of whom have walked in your shoes and have first-hand knowledge of what you and your teams are experiencing.

The panel will discuss:

  • Compliance-as-a-Service: Assessing your compliance program
  • Partnering with the business and having a seat at the executive table
  • Managing regulatory change
  • Identifying high-risk areas and evaluating controls during market volatility
  • Business continuity and preparing for regulatory exams post-pandemic
  • Compliance culture: how to get creative with your budget and manage a remote team

Our panelists, former CCOs at asset managers, investment advisers, broker-dealers and wealth managers, include:

– Matt Calabro
– Allison Fraser
– Dan Haynes
– Korrine Kolm
– Ariana Monchick
– Victoria Olson

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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