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We’re sitting down to learn from top-tier compliance professionals leveraging technology every day to reduce risk, friction, and errors. Compliance Officers from AssetMark, KeyBanc Capital Markets, GMO, and Virtus Investment Advisors will discuss some of the industry’s most frequent challenges and provide actionable advice and best practices. Topics will include (1) automating trade pre-clearance, (2) trade reconciliation via electronic broker feeds, (3) streamlining and customizing certifications, (4) data-driven compliance, (5) integrating enterprise systems, and more!
Learn more about our speakers below!
Head of Business Development
As Head of Business Development, Steve Brown is responsible for helping drive growth at Star, with a focus on go-to-market planning, data and vendor…
Senior Compliance Analyst
Dana began her professional compliance career at Dimensional Fund Advisors as an analyst on the marketing review team.
Corporate Compliance Lead
Ms. Butler has been a member of GMO’s legal and compliance group since 2001, and a StarCompliance user since 2003.
Compliance Manager
David Olson, Compliance Manager at AssetMark, has worked in Financial Services since 2017.
Vice President
Tom began his professional career at KeyBanc Capital Markets as a surveillance analyst in the Compliance Control Room.