For CCOs, By CCOs: Assessing Your Compliance Program

In this episode, former Chief Compliance Officer and CSS’s Director of RIC Services Allison Fraser joins Natalie Silverman to discuss the evolving role of today’s Chief Compliance Officer – from the ongoing responsibilities of administering your firm’s compliance program to submitting timely filings and keeping up with regulatory change.

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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, Allison served as a Senior Vice President of Compliance at Northern Trust Investments, Inc. (“NTI”), the asset management subsidiary of The Northern Trust Company. In this capacity, Allison managed and administered the compliance due diligence program for NTI’s Multi-Manager Solutions and Outsourced Chief Investment Officer businesses. Allison also was the Chief Compliance Officer of two registered funds of hedge funds advised by NTI as well as a member of the funds’ Pricing and Disclosure Committees. Before joining NTI, Allison served as the Compliance Director for General Motors Asset Management, where she assisted with the administration of the compliance program for this registered investment adviser.