COMPLIMENTARY WEBINAR
Practical Steps to Strategic
Year-End Compliance
Date: December 13, 2023 - Time: 12PM EST / 5PM GMT
Practical Steps to Strategic Year-End Compliance
The end of the year is fast approaching. As you look back, are you on track to demonstrate that you met your compliance objectives? Do you know what you need to do to set the stage for effective compliance in the coming year and beyond?
Taking a proactive approach to evaluating core elements of your compliance program will allow you to identify concerns and make adjustments—before the regulators do.
Wondering where to start? Join MCO and Paul Murdock and James Hartmann from MCG Consulting for a webinar that will provide guidance on the key areas where compliance professionals should be focusing their time and attention to close the year out strong and position themselves for success, including:
- The importance of risk assessments
- Managing vendor due diligence
- Optimizing compliance technology
- Preparing for the annual compliance review
There will be a Q&A session after the presentation, so please let us know if you have any questions for our presenters when you register.
Date : December 13, 2023
Time : 12PM EST / 5PM GMT
Register Now
PRESENTERS
Paul has amassed over 25 years of experience specializing in finance and compliance within the financial services industry. His client portfolio experience spans diversified financial services companies, broker-dealers, banks, investments advisers, hedge funds, private funds and mutual fund companies.
Professional Highlights
- Wolters Kluwer Financial Services - Securities Consulting and Professional Services Practice,
- Ernst & Young LLP – Capital Markets and Investment Management
- BlackRock Inc. – Chief Compliance Officer
- PricewaterhouseCoopers, LLP – Principal Consultant
- Prudential Insurance Company of America – Director, Corporate Compliance
- New York Regional office of FINRA – Senior Compliance Examiner
James has over 30 years of experience as a regulator, CCO, trusted consultant to investment advisers with SMA, mutual fund, insurance company and structured product clients with a variety of VC, PE, private credit, liquid credit, and multi-strategy alternative equity strategies.
Professional Highlights
- Securities & Exchange Commission (NYRO, OCIE)
- Prudential Insurance Company
- Prudential Mutual Fund Management
- Prudential Fixed Income
- UBS Alternative & Quantitative Investments
- Arena Investors LP
