Moving Out of Excel: A Guide to Automating Compliance for Small to Mid-Sized Financial Firms 2022 | ComplySci | 26 April 2022 | Online
Venue
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| Event Date | Tue Apr 26 EDT (over 2 years ago) |
| Location | Online |
| Region | Americas |
Details
Small to mid-sized financial firms face distinct challenges in defining and executing on their compliance programs. Often tasked with drastically reduced resources – compared to their larger counterparts – these firms must maintain the same level of rigorous compliance. As cybersecurity risks and cryptocurrency challenges continue to permeate the compliance space, the question is, is your firm equipped to mitigate these increasing compliance challenges?
In this webinar, we will dive into the challenges faced by small to mid-sized firms and offer a perspective into how these firms can leverage technology to create a strategic and valuable compliance program.
We will cover:
• Unique compliance challenges faced by smaller sized firms
• Compliance vs. Apathy – setting up your program for success
• Scaling your compliance program to meet new needs
• Automating your processes – why technology is your best compliance partner
• Adapting to the latest priorities – creating a program that is both proactive and reactive
Speakers
2022 Speakers
PANELISTS:
Wendy Fraulo
Chief Financial Officer, ComplySci
Will Bressman
President, RIA in a Box