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Minimum Technology Standards for Compliance

We’re living in a world where we all use technology to manage our daily lives, both at home and at work. Recent years have seen huge gains in compliance technology and automation for firms of all sizes. The benefits and affordability of current compliance technology are well known to regulators, and recent SEC guidance and risk alerts have consistently pointed to a lack of adequate technology as a deficiency in compliance programs.

During the webinar Tito Pombra from Adviser Compliance Consulting and Giselle Casella from Investment Adviser Compliance Consultants discuss the concept of minimum technology standards, and how firms can use both minimum technology standards and automation to effectively manage compliance, including:

  • Evaluating compliance technology offerings for fit
  • Aligning capabilities with compliance requirements to replace manual processes
  • Understanding how automation can help firms better manage the core functions of compliance
  • Leveraging technology for effective SEC exam management

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Tito Pombra is the Founder and President of Adviser Compliance Consulting Inc. (ACC) a  firm which services registered investment advisers, hedge funds, private funds, investment companies, financial professionals, global managers and CPOs. Over the years, Mr. Pombra has garnered extensive experience in the global asset management industry, which includes twenty-three years in the investment Company/investment adviser and international compliance areas. His practice is focused on the areas of regulatory exams, acting as outsource CCO, annual reviews, mock SEC exams, creating a strong culture of compliance, policies and procedures development, advertising and marketing reviews, NFA/CFTC compliance and mentoring and training compliance professionals.

Mr. Pombra is Co-Chair of the San Francisco Bay Area CCO Committee and a former member of the Board of Directors of the National Society of Compliance Professionals (NSCP) and the Investment Company Institute’s (ICI) CCO committee.

Tito Pombra
President and Founder of Adviser Compliance Consulting

Giselle Casella has over 20 years of US SEC regulatory compliance experience with registered investment advisers (RIAs). As the Founder and CEO of Investment Adviser Compliance Consultants, Giselle provides outsourced CCO services to RIAs, as well as a full suite of compliance services including: annual compliance reviews, SEC mock audits, compliance testing, regulatory filings and disclosures, code of ethics administration, trade surveillance, policy drafting and updates, email and social media surveillance, compliance training, marketing material review, and SEC examination support.

Giselle partners directly with compliance personnel, employees, and third-party vendors to develop and oversee compliance programs tailored specifically to each RIA’s unique business. Giselle also currently serves as Adjunct Professor at Utica College where she teaches online graduate courses on compliance. Giselle regularly speaks on webcasts and conference panels, and writes articles and industry alerts.

Giselle V. Casella
CEO and Founder of Investment Adviser Compliance Consultants

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