Venue
Gaylord National Resort & Convention Center National Harbor, Maryland
Gaylord National Resort & Convention Center National Harbor, Maryland, Fort Washington, MD 20745, USA

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Event Date Mon Nov 8 EST - Wed Nov 10 EST (8 months ago)
Location Gaylord National Resort & Convention Center National Harbor, Maryland
Fort Washington, MD 20745, USA
Region Americas
Details

Description
The National Society of Compliance Professionals (NSCP) National Conference 2021 is a conference that covers topics such as:
• An Introduction to the Advisers Act and the Role of the Compliance Officer
• An Introduction to FINRA Regulations and the Role of the Compliance Officer
• Professional Development for Compliance Professionals
• Fundamentals of Compliance and Best Practices for Private Funds and Hedge Funds
• The Basics of Underwriting
• Establishing Effective Records Management in Accordance with Rules and Using Technology

The National Society of Compliance Professionals (NSCP) National Conference 2021 brings together Hedge Fund/Private Fund personnel, Investment Advisers, Dealers, Brokers and Investment Companies.

Event Categories:
• Business: Finance, Internal Audit & Compliance, Legal, Management
• Government & Global Issues: Law & Regulations

Speakers

2021 Speakers

Caroline A. Crenshaw
Commissioner, U.S. Securities & Exchange Commission

Brian Rubin
Partner, Eversheds Sutherland (US) LLP

Jo-Ellyn Sakowitz Klein
Senior Counsel, Akin Gump Strauss Hauer & Feld LLP

Rachel Kurzweil
Associate, Akin Gump Strauss Hauer & Feld LLP

Craig Watanabe
Financial Adviser and Director of IA Compliance, DFPG Investments, Inc.

David Blass
Partner, Simpson Thacher & Bartlett LLP

Alice Palmer
Vice President, Chief Counsel for Retirement Plan Services, Lincoln Financial Group

Tara Plett
Vice President and Corporate Counsel, Prudential

Mark Gurevich
Chief Compliance Officer & Deputy General Counsel, Maverick Capital

Michelle Canela
Deputy Chief Compliance Officer, Lighthouse Investment Partners LLC

Anand Mohabir
Founder, Elteni LLC – Cybersecurity Consulting & Advisory

Gail Marshall
Chief Compliance Officer, MSRB

Linde Murphy
Managing Director, Argent Financial Group

Adán Araujo
Chief Compliance Officer, Jasper Ridge Partners, LP

Michele (Mitch) Gibbons
General Counsel and Chief Legal Officer, Fayez Sarofim & Co.

Ted McCutcheon
CCO, Kawa Capital Management

Brenda Fournier
VP – Regional Compliance Officer, JPMorgan Chase Bank

Wesley Ringo
Senior Advisor, Capital Forensics

Lilly Farahnakian
Global Chief Compliance Officer, GCM Grosvenor

Robin Freeman, CSCP-IA
CCO, LaSalle Investment Management Distributors, LLC

Jeff Squires
Principal, RIMC

Christy Moccia
Chief Compliance Officer, Clear Street, LLC

Robert Moreiro
Partner, Practus LLP

Katherine (Katie) Spence
Audit Manager, Jackson

Brad Busscher
CAO & General Counsel, InspereX

Jennifer Relien
General Counsel & CCO, Prosperity Capital Advisors

Oksana Wright
Partner, Fox Rothschild LLP

Ursula Clay
Senior Vice President – Member Supervision Chief of Staff / Head of Core Functions, FINRA

Robert Colby
Chief Legal Officer, FINRA

Carlo di Florio
Chief Services Officer, ACA

Jenna Burfeind
Sr. Counsel, Thrivent

Patrick Hayes
Senior Counsel, Calfee, Halter & Griswold LLP

Jeff Himstreet
VP and Corporate Counsel, Prudential

Anthony (Tony) Cavallaro
Head of Regulatory Services and Fraud Oversight, Robinhood Financial

Kevin Turton
Consultant, NRS

Lynn McGrade
Partner, Borden Ladner Gervais LLP

Norm Ashkenas
Chief Compliance Officer, Robinhood Financial

Jilaine Bauer
Sr. Compliance Consultant, Ascent Technologies

Katherine Sikora Nelson
Strategic Advisor, Boston RegTech

Deborah Lamb
CCO, McKinley Capital Management LLC

Paul Murdock
Managing Director, MCG Consulting Services LLC

Craig Watanabe
Financial Adviser and Director of IA Compliance, DFPG Investments, Inc.

James (Jim) Downing
Global CCO, Moringstar, Inc.

Rebecca Leon
Partner, Baker & McKenzie LLP

Selwyn Notelovitz
Global CCO & VP, Dimensional Fund Advisors

Larry Nakamura
Vice President, Head of U.S. Wealth Compliance, CI Financial / CI Private Wealth US

Hope Newsome
Managing Partner, Virtus LLP

Cathy Vasilev
Chief Operating Officer, Red Oak Compliance

Jeannette Lewis
Senior Compliance Counsel, William Blair & Company, L.L.C./William Blair Investment Management LLC

Heather Traeger
CCO & Deputy General Counsel, Teacher Retirement System of Texas

James Rabenstine
VP & CCO, Nationwide Financial Services

Scott Bennewitz
CFO/CCO, RK Capital Management, LLC

Maureen Kiefer-Goldenberg
Chief Compliance Officer, The Mather Group

Linda Shirkey
Managing Director, Bates Group

Miriam Lefkowitz
Chief Legal Officer and Chief Compliance Officer, Seeds Investor LLC

LaRue McIntyre
Partner, CCO, TrustCore Financial Services, LLC

Vinita Paul
Vice President, Chief Compliance Officer and General Counsel, Heartland Advisors, Inc.

John Ivan
Managing Director, Capital Forensics

Josh Jones
Attorney, Bressler, Amery & Ross P.C.

Ann Robinson
Chief Compliance Officer, Farmers Financial Solutions, LLC

Hasan Ibrahim
Chief Compliance Officer, Prudential Financial

Hank Sanchez
Managing Director, Bates Group LLC

Jennifer Connors
Partner, Baker & McKenzie LLP

Joy Langdon
CEO/CCO, TillieStar Compliance Solutions Inc.

Traci Spanier
Co-Chief Compliance Officer, Northland Securities

David Curran
Chief Sustainability and Environmental, Social and Governance (ESG) Officer, Paul, Weiss, Rifkind, Wharton & Garrison LLP

Kelly Gibson
Acting Deputy Director of Division of Enforcement, U.S. Securities & Exchange Commission

Bruce Karpati
Partner, Global Chief Compliance Officer, KKR

Eric Young
Founder and CEO, Young Enterprises LLC

Cassie Lentchner
Chief Operating Officer, Bitgo

David Solander
Partner, McDermott Will & Emery LLP

Michael Weissmann
SVP, Regulatory Compliance, Fidelity Investments

Trish Flynn
Senior Vice President, Chief Risk & Compliance Officer, INTECH

Daniel (Dan) Harley
V.P. Compliance Consulting, Kroll, LLC

Edward (Ed) Wegener
Managing Director, Oyster Consulting, LLC

Leslie Green
CCO, Calfee Halter & Griswold LLP

Issa Hanna
Counsel, Eversheds Sutherland

Jane Riley
Chief Compliance Officer, The Leaders Group/TLG Advisors

Matt Chambers
General Counsel and CCO, Horizon Investments, LLC

Kevin Gleason
SVP/CCO, Voya Investment Management

Richard Kerr
Partner, K&L Gates LLP

Jeff R. Blumberg
Partner, Faegre Drinker Biddle & Reath LLP

Molly Campbell
CCO, Resource Capital Funds

Steve Farmer
Chief Compliance Officer, Confluence Investment Management LLC

Mario Chilin
Chief Compliance Officer, EP Wealth Advisors, LLC

Melanie Mendoza
Founder, MHM Consulting, LLC

Christine Warner
CCO, Monticello Financial Group

James (Jim) Papagiannis
CCO, InspereX

Linde Murphy
Managing Director, Argent Financial Group

Jason Roberts
CEO, Pension Resource Institute, LLC (PRI)

Dan Hyatt
Vice President Sales and Marketing, Alliance Benefit Group

Bo Howell
CEO, Joot

Andrew Siegel
General Counsel and Chief Compliance Officer, Galaxy Digital

Jane Stabile
President and Founder, IMP Partners LLC

Ben McDowell
Vice President, Global Diversity, Equity & Inclusion, Wellington Management

Danielle Torres
Compliance Manager, CCO/Registered Principal, MEA Financial Services and Paradigm Equities

DeVona Wright Cottrell
Chief Legal Officer & General Counsel, GMR Marketing

Elin Cherry
CEO, Elinphant, LLC

William (Bill) Hayden
Chief Compliance Officer, KBCM

Max Schatzow
Associate, Stark & Stark

Adam Aderton
Co-Chief, Asset Management Unit, United States Securities and Exchange Commission

Robert Kaplan
Partner, Debevoise & Plimpton, LLP

Corey Schuster
Assistant Director, Asset Management Unit, U.S. Securities & Exchange Commission

Rebecca Amissah
CCO, Aflac Global Investments

Korrine Kohm
Director of Retail Wealth Manager Services, Ascendant, a CSS Company

Ken Bell
Owner, Principal, SSI Risk Consulting, LLC

Jerry Danielson
AVP – Field Assurance, Lincoln Financial Group

Michelle Canela
Deputy Chief Compliance Officer, Lighthouse Investment Partners LLC

Mark Gurevich
Chief Compliance Officer & Deputy General Counsel, Maverick Capital

Anand Mohabir
Founder, Elteni LLC – Cybersecurity Consulting & Advisory

Jennifer Divalerio
Managing Director, Broker Dealer Compliance, Foreside

Scott Noah
Of Counsel, Stevens & Lee

Kelly Zigaitis
CCO, Robinhood Financial

Joseph Brady
Executive Director, North American Securities Administrators Association, Inc.

Stephen (Steve) Brey
Administrative Law Specialist, State of Michigan’s Department of Licensing & Regulatory Affairs

Marni Gibson
NASAA Broker-Dealer Section Chair, Securities Administrator and Director, Kentucky, Kentucky Department of Financial Institutions

Marlon Paz
Partner, Mayer Brown LLP

Jenna Burfeind
Sr. Counsel, Thrivent

Patrick Hayes
Senior Counsel, Calfee, Halter & Griswold LLP

Jeff Himstreet
VP and Corporate Counsel, Prudential

Hope Brown
Chief Compliance Officer, Calvert Research and Management

Emily Gordy
Partner, McGuireWoods

Michael (Mike) Shoemaker
CCO, Kayne Anderson Rudnick Investment Management, LLC

Tracy Abbott
Chief Compliance Officer, Seavest Investment Group

Louis Dempsey
President, Renaissance Regulatory Services

Jim McWeeney
CEO, Integrity Risk International

Ann Robinson
Chief Compliance Officer, Farmers Financial Solutions, LLC

Aimee Toth
Managing Director & CCO, Invicta Capital LLC and Invicta Advisors LLC

Melissa Hodgman
Acting Director of Division of Enforcement, U.S. Securities & Exchange Commission

Jessica Hopper
Head of Enforcement, FINRA

Susan Schroeder
Partner, WilmerHale

Brad Anderson
CCO, DFPG Investments, LLC

Tom Selman
Founder, Scopus Financial Group

Emily Teran
CCO, The Cynosure Group

Nikki Brinkerhoff
CCO, TradeStation

James (Jim) Downing
Global CCO, Moringstar, Inc.

Kelley Howes
Of CounselAdd New, Morrison & Foerster LLP

Elizabeth Cope
Founder, SEC Compliance Consultants

Jennifer Selliers
Director of Internal Compliance, Department of Treasury, State of Tennessee

Kevin Spence
Compliance Director, TIAA

Melissa Loner
EVP, Advisor Services, Premiere Wealth Management

Robert Tull
Managing Director, Progressive Compliance Advisors

Scott Weisman
Global Chief Compliance Officer, Bain Capital, LP

Allison Charley
Senior Principal Consultant, ACA Group

Genna Garver
Partner, Troutman Sanders

Angela Palmer
Director/ CCO, Robert W. Baird & Co. Incorporated

Amber Allen
General Counsel, VP, Fairview Investment Services

Jodie Crotteau
SVP & Chief Compliance Officer, Harbor Capital Advisors, Inc.

Jeannette Lewis
Senior Compliance Counsel, William Blair & Company, L.L.C./William Blair Investment Management LLC

Richard Chen
President, Richard L. Chen PLLC

Stephen Smith
VP – Compliance, Kestra Financial

Gigi Szekely
CCO, StoneX Financial

Michael Cramer
Deputy CCO, Jasper Ridge Partners

Steven Hansen
Consulting Attorney, Morgan Lewis

Christine Ayako Schleppegrell
Senior Counsel, U.S. Securities and Exchange Commission

Barbara Boehler
Product Market Director, Aravo Solutions, Inc.

Janice Powell
Senior Compliance Consultant, Core Compliance & Legal Services

Brian Woldow
CCO, Betterment

Jena Bjornson
Chief Compliance Officer, Kennedy Capital Management Inc.

Jeff R. Blumberg
Partner, Faegre Drinker Biddle & Reath LLP

Tito Pombra
Founder and President, Adviser Compliance Consulting, Inc.

David Kaleda
Principal, Groom Law Group

Chih-Pin Lu
Chief Counsel, Asset Management Group, Raymond James

Dionne Fajardo
CCO & General Counsel, Element Pointe Advisors, LLC

Trish Flynn
Senior Vice President, Chief Risk & Compliance Officer, INTECH

Krista Zipfel
Director, Focus 1 Associates LLC

Sponsors & Partners

2021 Sponsors

PLATINUM MEMBERALLY:
• RegEd
• RRS
• SDDco Group
• Red Oak Compliance Software

GOLD MEMBERALLY:
• Elinphant

SILVER MEMBERALLY:
• NRS
• BasisCode Compliance

EXHIBITORS:
• MCO
• ACA
• CapitalRock
• Star Compliance
• Quest CE

SPONSORS:
• Fox Rothschild LLP
• SDDco Group
• Star Compliance