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Taking the Broad View: Better Risk and Compliance through Holistic Oversight

Are you worried that you’re missing something in your compliance program, but at the same time afraid to open the floodgates? With regulatory pressures what they are today, compliance teams can’t take the view that what they don’t know won’t hurt them. And without the right processes and technology in place compliance professionals can spend too much time hunting and gathering information within their organization and not enough time doing the high-level advisory work that adds real value to their firm.

In order to be effective advisors, compliance teams must have a clear and holistic view of their organization’s risk profile. Join Mitch Avnet, Founder and Managing Partner at Compliance Risk Concepts, and Richard Pike from MCO for a webinar providing practical guidance on what compliance leaders can be doing to develop holistic oversight of compliance risk across their organization, including:

  • Tracking regulatory updates and understanding their impact
  • Identifying gaps in policies and controls
  • Ordering and prioritizing efforts and activities
  • Leveraging technology to manage data and analytics

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Mitch Avnet is the Founder and Managing Partner of Compliance Risk Concepts (“CRC”).  Mitch is responsible for business development, relationship management and overseeing the execution of all client driven / business focused Compliance and Ethics Risk Management strategic engagements.

Prior to launching CRC, Mitch was a member of Corporate Leadership Group (CLG) at Lincoln Financial Group (LFG) where he was Senior Vice President and Chief Ethics and Compliance Officer, having direct oversight of the company’s anti-money laundering, privacy, ethics and compliance risk management programs. In addition, Mitch maintained responsibility for Lincoln’s entire Compliance and Ethics Technology strategic initiatives, developing and implementing a long term strategic approach to upgrade and modernize the effectiveness and efficiency of Lincoln’s overall Compliance programs. Mitch was a member of the Social Media Governance Committee, having direct influence regarding LFG’s overall strategy toward the enablement and usage of Social Media outlets across the LFG footprint.

Throughout the course of Mitch’s 25+year career in the financial services industry, he has worked for top-tier investment banks, commercial banks and hedge funds such as Wachovia Capital Markets, PNC Bank and D E Shaw, developing an extensive knowledge of both buy side and sell side businesses, with a deep understanding of Equity and Fixed Income Markets, Derivative Instruments, Structured Products and Variable Products.

Mitch maintains the Series 4, 7, 9, 10, 24, 55, 63 securities license designations. He obtained his bachelor’s degree in economics, graduating magna cum laude from the State University of New York at Oneonta.


Mitch Avnet
Founder and Managing Director, Compliance Risk Concepts

Richard has extensive experience working with financial institutions and technology companies throughout the world, assisting companies in managing enterprise risk more efficiently while addressing local regulatory guidelines and standards.  

He is currently Chairman of Citadel Securities (Ireland) Ltd, an Independent Non Executive Director and Chair of the Board Risk Committee at Starling International, Independent Non Executive Director at FBD Insurance plc, Independent Non Executive Director at Citadel Securities (Europe) Ltd. He has previously worked in various senior banking, insurance, credit and market risk roles at PermanentTSB Bank plc., JP Morgan Fund Administration Services (Ireland) Limited and JP Morgan Hedge Fund Services (Ireland) Limited, Wolters Kluwer Financial Services, ABN AMRO, Bain, COMIT Gruppe and Quay Financial Software.  He lectures in Risk Management at the Institute of Banking and at the Smurfit Business School. In 2009, Richard was recognised as a “Top 50” Face of Operational Risk by Op Risk & Compliance magazine and was a contributing author to two books on risk management. Richard has also received the designation of ‘Certified Bank Director’ by the Institute of Banking. 

Richard Pike
Senior Consultant, MyComplianceOffice