Melanie Marshak, a Managing Director within The Execu|Search Group’s Financial Services division, recently hosted a roundtable that brought together approximately a dozen General Counsels/Chief Compliance Officers to discuss topics currently impacting the industry.
During the open forum, CCOs from various hedge funds, private equity, and asset management firms discussed topics such as:
- Current hiring trends in Compliance
- Recent regulatory issues and development
- The importance of monitoring and testing compliance programs
- Recent SEC inspections
Also in attendance was Todd Kaplan, Founder and Principal of Cloudbreak Compliance Group, who presented to the group on “10 Simple Tests to Bolster a Compliance Program,” in which he outlined a number of review tests (i.e., Email, Political Contribution, Social Media, etc.) that compliance programs can incorporate. Tom has over 11 years of regulatory compliance and investment management experience and is a licensed attorney in the State of New York.
“These forums continue to serve as an open collegiate space where like-minded industry professionals can come together to share their insights with each other,” says Melanie. “As regulation continues to be a hot topic in today’s economy, it’s important that professionals throughout the financial services industry come together to share their individual successes along with presenting ways to improve compliance programs.”