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Compliance Budgeting: Reducing Risk While Doing More with Less

Watch Treliant’s Securities and Investment Management Compliance practice leader Alan Halfenger and a panel of industry experts for the webinar as they explore ways to enhance your compliance program and decrease risks through technology, outsourcing, and budgeting/critical task planning.

The panel will discuss current trends in regulatory technology, compliance budgets and spending, including:

  • Learning how to use automated tools to monitor big data to gain critical insights on the organization’s key risks;
  • Creating efficacies around repetitive tasks through the use of part-time and outsourced resources;
  • Reorganizing monitoring and testing tasks to match frequency to the level of risk;
  • Using job sharing and overnight processing to address volume spike and surges; and
  • Addressing audit and regulatory concerns on managing compliance budget growth.

Speakers:

Alan Halfenger (Moderator), Managing Director, Treliant

Keith Pyke, Director, Solutions-Sales, MyComplianceOffice

Brent Taylor, Former GC and CCO

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WEBINAR SPEAKERS

Alan Halfenger is a Managing Director in Treliant's New York office. A former Global Chief Compliance Officer from the securities and investment management industry with experience in Anti-Money Laundering (AML), anti-corruption and sanctions compliance, Alan advises clients on regulatory risks related to global securities and commodities businesses.

Prior to working as a consultant, Alan served as the Global Chief Compliance Officer (CCO) for Bain Capital where he supported the firm’s private equity, venture, credit, fund-of-funds, and hedge fund businesses. In this role he served as the CF10 for Bain’s U.K. business entities, established the firm’s first broker-dealer and CPOs, created structures for the European Union MIFID regime and registered the firm in numerous countries.  Previously he served in various legal and CCO roles at JPMorgan Chase, Citibank, NatWest Markets, and Chemical Bank in areas such as private banking, retail brokerage, insurance, credit and equity derivatives, investment banking, and trading. 

Alan earned his JD from the Syracuse University College of Law and his BS from the New York University Stern School of Business. He has held Series 4, 7, 9, 10, 24, 53, and 63 licenses, as well as the ACAMS certification.

Alan K. Halfenger
Managing Director, Treliant

Brent H. Taylor is a former General Counsel and Chief Compliance Officer from the securities industry with deep experience with broker-dealers and investment advisory regulation. Over his twenty-five plus year career, Brent has served as a Chief Compliance Officer, General Counsel and Regulatory Counsel, as well as a former securities regulator, having held several key positions at the U.S. Securities & Exchange Commission. Most recently, Brent was the Managing Director and Global Co-Head of Legal for the Investment Platforms and Solutions businesses (IPS) of UBS Global Wealth Management. In this global role, he counseled all product areas, including Capital Markets, UBS Financial Services (brokerage) and all of the investment company/advisory programs. He also served as Acting Americas General Counsel, advising senior regional management on legal issues and matters arising in the region, and coordinating cross-divisional legal services. Prior to joining UBS, Brent was the Global General Counsel for JPMorgan Asset Management (Asset and Wealth Management.) Previously, he was the Chief Compliance Officer of JPMorgan Securities and the Global Co-Head of Compliance for JPMorgan Chase.Brent served as the Deputy Chief for the SEC Office of International Corporate Finance and was Legal Counsel to SEC Chairmen’ John Shad and David Ruder. Before joining the SEC, he was in private practice in Washington, D.C., focusing on litigation and general corporate practice areas. Brent received his J.D. from George Washington University. He received a B.A. from Brown University.

Brent H. Taylor
Former General Counsel and Chief Compliance Officer

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.

Keith Pyke
Director, Solutions-Sales, MyComplianceOffice