Key Take Away:
This webinar will outline some ways your firm may be able to incorporate the annual review into your firm’s daily tasks to not create such a monumental annual task.
Overview:
Firms are required to conduct an annual review, however there is not a lot of guidance on how this should be done.
Conducting the annual review without losing your sanity can be a tough feat for the Chief Compliance Officer, but with some planning and firm participation and doesn’t have to be.
Why Should You Attend:
The Chief Compliance Officer should document the annual review each year and ensure that all possible areas of risk, regulator focus and industry concern have been tested, documented and remediated.
This can be a huge undertaking for the CCO that is already wearing multiple hats. Learn how to manage the annual review as a project as opposed to a task.
Areas Covered In This Webinar:
The webinar will outline the areas to include in the review, what key areas should always be tested, how to incorporate other team members into the process and the best practices to document and summarize the review.
Learning Objectives:
• How to create and maintain the firm’s annual compliance review
Who Will Benefit:
• Compliance Professionals
• Financial Advisors
• Audit Personnel
• Risk Managers
• Attorneys
• Client Service Managers
• Accountants
• Chief Executive Officers
• Financial Planners
For more information, please visit : https://www.atozcompliance.com/trainings-webinar/banking-financial-services/financial-trading/practical-ways-for-financial-services-firms-to-prepare-for-a-regulatory-exam/lisa-m-marsden/300134
Email: support@atozcompliance.com
Toll Free: +1- 844-414-1400
Tel: +1-516-900-5509
Level:
Intermediate
Speakers Profile:
Lisa M. Marsden
Lisa M. Marsden, IACCP, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with compliance and project management services.
Prior to that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida. She has been in the financial services industry for over 25 years.
Ms. Marsden has a broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operations.
Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate. She was the chief compliance officer/chief technology officer at Steinberg Global Asset Management, Boca Raton Florida and also held positions in the banking trust industry at Midlantic National Bank and Trust, Comerica Bank & Trust and Barnett Bank Asset Management.
Ms. Marsden leads two extremely intelligent groups of local compliance and IT professionals with the goal to help educate themselves, their firms and each other in the area of cyber security and compliance regulation as it pertains to the financial area. She serves on the executive committee of the Financial Planners Association of Greater Fort Lauderdale, and has moderated a cyber-security panel consisting of a Certified Ethical Hacker and Securities and Exchange Commission Examiner for the FPA of Greater Fort Lauderdale’s annual conference, conducted training sessions on the financial regulations regarding cybersecurity.
