Webinar: Establishing A Regulatory-Proof Broker/Dealer Compliance Program


Thank you to all who attended the June 20th webinar, Establishing A Regulatory-Proof Broker/Dealer Compliance Program in which Mitch Avnet, Founder and Managing Partner at Compliance Risk Concepts (“CRC”) and Kristi Kuhn, Senior Solutions Consultant at ProcessUnity discussed the necessary components of establishing and maintaining the necessary infrastructure to support and scale a best-in-class broker-dealer system of supervision.

Attendees learned about PaCE – Policy and Controls Environment, a brand new offering from Compliance Risk Concepts (“CRC”) that has been specifically created by a team of former industry leading CCOs to address the needs of firms that have been historically underserved and priced out of much needed technology solutions. Participants in this webinar learned about the following PaCE features:

  • Policies and Procedures Management
  • Forms and Certifications Management
  • Incident Management and Escalation Workflows
  • Integrated Compliance Calendar
  • Professional Services and Ongoing Support

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Presenters:

Mitch AvnetMitch Avnet, Founder and Managing Partner, Compliance Risk Concepts
Mitch Avnet is the founder and Managing Partner of CRC LLC. Mitch is responsible for business development, relationship management and overseeing the execution of all client driven / business focused Compliance and Ethics Risk Management strategic engagements.

 

Kristi KuhnKristi Kuhn, Senior Solutions Consultant, ProcessUnity
Kristi Kuhn is a Senior Solutions Consultant at ProcessUnity. Kristi has more than 12 years experience delivering governance, risk and compliance solutions to organizations of all sizes.

Moderated by:

Lilian-Colpas-250Lilian Colpas, Senior Compliance Officer, Compliance Risk Concepts
Lilian Colpas is an accomplished compliance professional with over 12 years of global compliance experience. Lilian provides consulting services to SEC and state-registered investment advisers and conducts AML independent reviews for broker/dealers. Previously, Lilian held roles as a compliance officer for Davidson Kempner, Harding Loevner and AIG Global Investments (now PineBridge).


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