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ON-DEMAND webinar

End of Year Compliance Wrap-Up

Organize your year-end compliance program and start strong in 2019

Register now to watch the on-demand MCO Webinar with guest presenters from NorthPoint Compliance on how to best wrap up 2018 and prepare for 2019. 

Get instant access to this informative on-demand webinar

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About our Presenters

Victoria Hogan, CFA
President of NorthPoint Compliance

Victoria Hogan, CFA, President of NorthPoint, worked for over six years as a compliance examiner in the New York Regional Office of the U.S. Securities and Exchange Commission (SEC). At the SEC, she led cause and routine examinations of a broad range of investment advisers including fixed income and equity advisers, alternative asset managers, hedge fund of funds, dually registered advisers, pension consultants, financial planners, and advisers to investment companies.  Victoria then formulated and prescribed corrective and disciplinary recommendations to SEC management, including referring examinations to the SEC’s branches of enforcement and recovering misappropriated assets for clients.

Prior to establishing NorthPoint, Victoria spent two years as a compliance officer in the Legal and Compliance Department of Fortress Investment Group, a publicly traded, SEC-registered investment adviser with $32 billion in assets under management (as of September 30, 2009). At Fortress, she was responsible for developing and enforcing compliance policies and procedures, providing compliance advice, performing periodic and annual reviews of the firm’s compliance program, staying current on regulatory and compliance matters, modifying existing policies and procedures in order for the firm to remain compliant with the relevant rules and laws, and ensuring that employees of the firm were appropriately trained in compliance-related matters.

Colleen Montemarano
Senior Consultant at NorthPoint
Colleen Montemarano is a Senior Consultant at NorthPoint. Prior to joining NorthPoint, Colleen worked for over six years as a compliance examiner in the New York Regional Office of the US Securities and Exchange Commission (SEC). During Colleen’s tenure at the SEC, she conducted cause and routine examinations of a variety of investment advisers including fixed income and equity advisers, dually registered advisers, hedge fund managers, pension consultants, advisers to real estate investment trusts and advisers to investment companies. As a result of examination findings, Colleen prepared corrective and disciplinary recommendations for SEC management including deficiency letters and referring examinations to the SEC’s branches of enforcement.

 

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