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ON-DEMAND WEBINAR

Building the Case for Process Improvement & Compliance Technology Change

Changing to a new technology platform can seem daunting—but it doesn’t have to be. Knowing what to expect during a software transition helps to ensure a successful implementation. Join MCO and Mitch Avnet, Founder and Managing Partner of Compliance Risk Concepts, for a discussion on how to effectively navigate changing compliance software platforms within your organization, including:

  • Understanding and refining your internal processes and guiding principles
  • Building a business case and approach strategy
  • Key steps to successful implementation
  • Q&A session

Compliance Risk Concepts

 

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Mitch Avnet
Founder and Managing Partner

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 services 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.

Throughout the course of Mitch’s 28 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 Alternative Investments.

Throughout his career, Mitch has built Compliance Risk Management programs to support the manufacturing / origination and distribution of proprietary products (closed architecture), as well as source third party products on behalf of customers / client relationships (open architecture). During this time frame, Mitch has served in a leadership role, building and integrating Compliance teams to be a meaningful and sought after component of the business process.

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.