Overview As firms prepare their annual ADV updates or review their compliance programs, one area […]
Join Gresham and Compliance Risk Concepts (CRC) for a Data Integrity and Governance for Broker-Dealers and Investment Advisers roundtable discussion and hear first-hand, from two former Senior Executives at FINRA, Bill Hayden and Jeff Holik.
Date: Tuesday, June 14, 2016 Time: Time: 12:00 pm - 5:00 pm ET
Lunch 12:00pm - 12:45pm Roundtable discussion 1:00pm - 3:45pm Cocktail reception 4:00pm - 5:00pm
Location: The Bryant Park Hotel, 40 W. 40th St. New York, NY
Today, there is a new paradigm of regulatory expectations, creating increasingly daunting compliance and operational risk management challenges. Many of these challenges relate to the data that is reported to ensure organizations continue to meet the ever expanding list of ongoing regulatory and compliance requirements. Our discussion will focus on common challenges and issues impacting Compliance Departments, such as:
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Bill Hayden has industry experience as both a regulator and a senior compliance officer at large financial institutions. He is currently the Chief Compliance Officer for KeyBanc Capital Markets (KBCM) in Ohio. Before joining KBCM in 2013, Bill was the Director of FINRA’s Office of Emerging Regulatory Issues, where he helped the SRO identify trends in the financial industry and assess the impact on regulatory policy. Prior to his time at FINRA, Bill held a number of senior compliance positions at Wachovia Capital Markets, including Chief Compliance Officer for Corporate Investment Banking. Bill is a former branch chief/staff attorney in the SEC’s Office of Compliance Inspections and Examinations (OCIE). Prior to his work in the industry, Bill was a criminal prosecutor in Maryland and served as an intelligence officer in the U.S. Navy. He holds a law degree from the University of Baltimore School of Law and an undergraduate degree from Miami University in Oxford, Ohio. Jeffrey S. Holik is a seasoned and accomplished lawyer who knows how to solve problems from both a legal and a practical business perspective. With more than 30 years of experience as a senior financial services regulator, industry leader and partner in global law firms, he has a deep understanding of the financial services industry. After many years as a leader of regulatory programs at FINRA and as chief legal officer for the retail investment businesses of PNC Bank, Jeff brings a proven track record of success partnering with compliance officers and business leaders to achieve corporate goals, resolve customer and business disputes, manage legal, regulatory and reputational risk, maintain strong relationships with regulators, and keep regulatory and litigation matters off the front page of the newspapers. Read Jeffrey Holik's full bio >> Bill Blythe is the Global Business Development Director for Gresham Computing. Bill has more than 18 years of experience in the financial technology sector. Previously at SmartStream Technologies where he held the role of Managing Director for North America and the UK, based out of New York, Bill was in charge of business strategy and sales management. Under his supervision the North American business grew by more than 400% in two years. Prior to working for SmartStream Technologies, Bill held management positions at Singularity, Mercator Software (formally Braid) and Misys. Mitch Avnet is the founder and Managing Partner of CRC LLC. Avnet is responsible for business development, relationship management and overseeing the execution of all client driven / business focused Compliance and Ethics Risk Management strategic engagements. Prior to launching CRC, Avnet was a member of Corporate Leadership Group (CLG) at Lincoln Financial Group (LFG) where he was Senior Vice President and Chief Ethics and Compliance Officer, having direct oversight of the company’s anti-money laundering, privacy, ethics and compliance risk management programs.