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A Compliance Officer’s Crystal Ball – One Practitioner’s Predictions for 2021

As a compliance officer, regulatory counsel, risk manager or auditor, what keeps you up at night? Where do you need to focus your time and energy to close out the year strong and position yourself for success in 2021? Join MCO and Compliance expert, Mark A. Egert (who has served as Chief Compliance Officer and Chief Legal Officer at a number of firms), for an overview of the top areas of compliance concern for the year ahead, featuring:

  • Impact of Covid-19 on Compliance Programs and Controls
  • Technology Challenges Including Robo-Advisors, Crypto Assets, Digital Payments and More
  • Cybersecurity, Privacy and Data Protection
  • Evolving Standards of Care for Broker-Dealers and Investment Advisors
  • Regulatory Examination and Enforcement Priorities

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Mark A. Egert

Mark A. Egert has served as a trusted Compliance Officer or Regulatory Counsel in one form or another for over 25 years.  On the legal side, he began his career as an Associate at Shearman & Sterling, where he formed and represented investment advisors and broker-dealers.  He served as a Partner at Crowell & Moring, where he chaired the Financial Institution Regulatory Group.  He was the Chief Legal Officer for the Wholesale Business in North America for ABN AMRO.  On the compliance side, Mark has successfully enhanced the Compliance Programs at multiple firms, helping navigate senior management through complex regulations, aggressive regulators, rapidly changing markets and challenging situations.  He leverages his deep experience to identify, evaluate and implement controls that reduce regulatory risk. This experience includes serving at JP Morgan as Managing Director, Chief Compliance Officer of JP Morgan Investment Management Inc. (over $2T in AUM) and Head of Asset Management Compliance for the Americas. At Brown Brothers Harriman, Mark was the CCO for the broker-dealer, investment advisor and investment companies, as well as serving as the Global Head of Core Compliance. At Cowen & Company, he was the Chief Compliance Officer and held other titles. At RBC Capital Markets, he was the Legal & Compliance Director.

Mark graduated from George Washington University Law School cum laude and served as Editor of the Law Review.  He graduated from the University of Delaware magna cum laude, Phi Beta Kappa.  Mark frequently speaks at conferences, publishes articles on regulatory matters and proactively serves on industry committees and roundtables.