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Maximizing Attestations: A View from the C-Suite

It’s safe to assume that most firms are using compliance attestations, but are you making your attestations really work for you? Whether you’re an executive that’s wearing many hats across your organization or in charge of a dedicated compliance team, attestations that are optimally designed and implemented will call attention to the compliance issues that really matter.

Join Tom Quinn, COO/CCO of Moerus Capital for insight on how RIAs can use their quarterly attestations to reinforce a culture of compliance. Tom will share his first-hand experience designing and creating more useful employee attestations, including:

  • Designing a better attestation
  • Using alerts and reporting to uncover exceptions
  • Leveraging technology and automation to make the process seamless across the organization
  • Making attestations work for all stakeholders including employees, compliance and senior management.

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Thomas Quinn is Chief Operating Officer/Chief Compliance Officer at Moerus Capital Management.

Mr. Quinn joined Moerus in 2015 and has over 15 years of experience running the operational, compliance, and financial development aspects of institutionally focused asset management firms. He oversees all non-investing activities at the firm. Prior to joining Moerus, Mr. Quinn was COO for Abramenko & Company LLC, a FINRA registered broker-dealer and several hedge funds. Prior to that, Mr. Quinn had a long career in the global debt capital markets with HSBC, UBS, and JP Morgan.
Mr. Quinn holds a BSEG in Computer Science Engineering from Bucknell University and an MBA in Marketing and International Business from New York University Stern School of Business. He is Series 7, 24 and 63 Registered.
He is also the author of the blog series Designing a Better Compliance Program.
Tom Quinn
COO/CCO Moerus Capital Management