Addressing Conflicts of Interests (COI) that can have an outsized impact on the overall efficacy of a firm’s compliance and ethics program should be a top priority. The danger of poor COI mitigation is not only the immediate impact from individual COIs but also a broader risk to the entire program.
Join Keith Pyke from MCO and Jane Shahmanesh from Adherence LLC for a discussion of practical ways to better ensure conflict mitigation and conduct compliance in light of the unprecedented challenges of today’s regulatory landscape.
Key Takeaways include:
Keith Pyke is the director of the Solution-Sales team and a product expert at MCO (MyComplianceOffice). Keith has over 14 years’ experience in software development, product management, sales and the implementation of software solutions, primarily in the financial services sector. In his role at MCO, Keith leads a team of solution sales engineers and account managers to conduct all presales activities for the MyComplianceOffice product suite globally. Keith has also held senior positions in the MCO implementation team where he has lead client implementations of the MCO software. Prior to joining MCO, Keith worked for Fidelity Investments as a software engineer.
Keith holds a Bachelor of Science in Business Information Systems from University College Cork, Ireland. Keith also holds a Project management diploma from the Irish Institute of Project management, is project management certified (IPMA) and is a Java certified programmer.
Prior to founding Adherence, Jane worked as an in-house legal and compliance lawyer for a Who’s Who of financial institutions – including Lehman Brothers (where she counseled the bankrupt entity’s derivative unwind), Goldman Sachs & Co. (where she ran a division of their Compliance Department), Credit Suisse (where she was the interim legal manager for CSAM and its hedge fund businesses), Citibank (where she was the General Counsel to the Private Bank), and Deutsche Asset Management (legacy Bankers Trust)(where she supervised the legal and compliance department).
She was also a Partner at McGuireWoods, LLP, one of the nation’s largest law firms. Jane currently teaches regulatory compliance at Pace Law School. She has a BA from Barnard College and a JD from American University.