Live WEBINAR
eComms Compliance: Stay Ahead of the Game
Join MCO and Mitch Avnet from Compliance Risk Concepts for a webinar on managing eComms compliance and preparing for the ever-changing future.
September 21 at 12 PM EDT / 5PM BST
It’s clear that managing eComms is a regulatory priority, with high-profile and costly penalties for failure to preserve communications in the recent headlines. Firms of all sizes should expect that the aggressive enforcement will only continue.
What makes eComms compliance especially challenging is that it’s a moving target. Compliance teams need to be able to monitor the communication channels that employees are using today and be ready for any innovations that tomorrow will bring.
Join MCO and Mitch Avnet from Compliance Risk Concepts for a question-and-answer session featuring practical guidance on managing eComms compliance, including:
If you have any questions for our presenters, please let us know when you register.
Time : 12 PM EDT / 5PM BST
Mitch Avnet is the Founder, Managing Partner and CEO of Compliance Risk Concepts (“CRC”). Mitch is responsible for business development, relationship management and overseeing the execution of all client driven / business focused broker-dealer and asset management compliance services engagements.
Prior to launching CRC in 2013, 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 30+ 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 and Derivative Instruments, including Total Return Swaps, Variable Forwards, Hedging and Monetization Strategies, Alternative Investments and Structured Products.
Mitch maintains the Series 4, 7, 9, 10, 24, 55, and 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.
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