ALLIA Events

Optimizing Compliance: Are your compliance processes costing you too much money?

Do you feel a daily uphill battle with internal stakeholders and regulators? How do you determine what level of challenge with internal stakeholders and regulators is appropriate?

Today’s compliance and risk professionals must manage increasing expectations in a fast moving enviornment.

OBJECTIVES

• Stay on top of the latest requirements
• Improve interactions with regulators and internal stakeholders
• Understand the impacts of AI and Blockchain

WHAT?

Q&A Web conference

WHO?

Financial services managers with a small to mid size team in compliance or risk

WHEN?

JAN 14, 12:30PM

WHERE?

ONLINE

PRESENTERS

George Mandl

Financial services executive (+25 years) focused on Compliance with experience at Global and Domestic organizations with Institutional and Retail securities-based businesses, a Fin-tech trading company and a Regulatory organization.

Served as active member of SIFMA’s Compliance and Regulatory Practice Committee and SIFMA’s Technology and Regulation Committee.

Chaired FINRA’s District 10 (NY) Committee; served on the Securities Industry/Regulatory – Council on Continuing Education.

Laurie Shen

CEO & Founder of ALLIA Consulting. Laurie has 25+ years experience in compliance and operational risk serving financial services clients in broker dealer, investment banking, asset management and financial institutions.

Evelyn Konrad

Compliance process improvement manager with 25+ years in financial services focused on exam management, regulatory inquiry response, and training and policy development.

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