Business Resilience & Regulatory Exams

In this episode, former Chief Compliance Officer and CSS’s Director of Retail Wealth Manager Services Korrine Kohm joins Natalie Silverman to discuss business resiliency, and how compliance teams need to begin thinking about post-pandemic business continuity and regulatory exams.

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About Our Moderator:

Natalie Silverman serves as CSS’s Chief Marketing Officer. A leading FinTech specialist, Natalie has over 17 years of go-to-market and strategic expertise in financial services, SaaS, media and news. Most recently she has helped to build innovation labs across startups and enterprises.

About Our Guest Speaker:

Prior to joining CSS, Korrine was the Chief Compliance Officer and Head of Operations at Estabrook Capital Management, where she was responsible for all compliance functions of this SEC-registered, $2.1B investment advisory firm.

Korrine began her regulatory career while working at Allied Irish Bank (NY) in the Operations Department where she was a key member of AIB’s Compliance Committee, responsible for ensuring compliance with Federal and State regulations. An active member of the National Society of Compliance Professionals for over 10 years, Korrine earned her Investment Adviser Certified Compliance Professional (IACCPTM ) designation in 2006, is a member of the Association of Certified Fraud Examiners, and obtained her Certified Fraud Examiner designation.

In addition to her experience in compliance and banking, Korrine began the 16-week intensive training course in Quantico, Virginia, to become a Special Agent with the Federal Bureau of Investigation. She has particular experience in crafting customized policies and procedures, developing and implementing compliance programs, conducting on-site compliance reviews, acquisition due diligence reviews, risk assessments and mock SEC examinations. She routinely counsels clients on various regulatory matters, including SEC registration issues, social media and advertising, policies related to diminished financial capacity, disclosures and the annual review process.