On-Demand

COE Automation and Risk Reduction

A panel discussion with four best-in-class compliance officers

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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!

Expert Speakers

Steve Brown
Steve Brown

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…

Dana McNabb
Dana McNabb

Senior Compliance Analyst – Virtus Investment Partners

Dana began her professional compliance career at Dimensional Fund Advisors as an analyst on the marketing review team.

Kelly Butler
Kelly Butler

Compliance Manager, Corporate Compliance and Ethics – GMO

Ms. Butler has been a member of GMO’s legal and compliance group since 2001, and a StarCompliance user since 2003.

David Olsen
David Olsen

Compliance Manager – AssetMark

David Olson, Compliance Manager at AssetMark, has worked in Financial Services since 2017.

Tom Dennstedt
Tom Dennstedt

Vice President – KeyBanc Capital Markets

Tom began his professional career at KeyBanc Capital Markets as a surveillance analyst in the Compliance Control Room.