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Execu|Search Hosts CCO Roundtable: Compliance Hiring Trends & Regulatory Inspections

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.”