Employee working from home

Are you audit ready? How to leverage compliance solutions to prepare and remain compliant

October 6, 2022 2:00 pm

Whether routine or for cause, your compliance program will undoubtedly face a regulatory audit or examination. Are you prepared?

In this one-hour session, compliance experts will be joined by a leading chief compliance officer to walk you through what to expect and how to prepare for a regulatory audit, providing tactical strategies to help avoid common deficiencies and pitfalls, as well as first-hand perspective on the benefits of leveraging compliance technology and outside expertise.

Attendees will walk away with practical insight into:

  • How to best prepare your firm for a regulatory audit.
  • Common pitfalls and the cost of noncompliance.
  • Technology vs. consulting: How to leverage the best-fit compliance solutions.

Register now!

Panelists

Chris DiTata

Chris DiTata

RIA in a Box

Senior Vice President, Compliance Operations and General Counsel

Christopher DiTata, Esq. is the senior vice president of compliance operations and general counsel for RIA in a Box. He holds a JD from the NYU School of Law and a bachelor of arts in economics from the University of Pennsylvania. Mr. DiTata is a member of the New York State Bar Association, the Financial Planning Association and a licensed real estate broker. A former associate of Goodwin Procter, LLP and Babchik & Young, LLP, he has extensive expertise in compliance and business law background, with specialized knowledge in corporate governance and fund formation.

Zack Andresen

Zack Andresen

ComplySci

Senior Director

Zack Andresen is the senior director for ComplySci’s North American Customer Success team. Prior to joining ComplySci, he spent time with LinkedIn as an early member of their Customer Success Organization and at Salesloft, where he helped build their Enterprise segment while driving positive outcomes for customers. ​

Jason Vinsonhaler

Jason Vinsonhaler

RIA in a Box

Director of Compliance

Jason has been a compliance consultant with RIA in a Box since 2016. In addition to working with RIAs to understand their compliance responsibilities, Jason has created online training content in the form of webinars and investment adviser representative continuing education course material. Jason has also written and been featured in several articles and blog posts for investment adviser industry trade publications. ​

Prior to joining RIA in a Box, Jason worked as a senior special agent with the Office of the Kansas Securities Commissioner. In that role, he investigated alleged violations of Kansas securities law as a sworn law enforcement officer. He also worked in the Compliance department, where he conducted investment adviser and broker-dealer examinations. ​

Jason served on the NASAA Investment Adviser Cyber Security and Technology Project Group dealing with issues related to cybersecurity regulation and recommendations for state registered IAs. Prior to working for the State of Kansas, Jason worked in the financial and insurance industries as an agent of a broker-dealer and an insurance adjuster. He holds a bachelor of science degree in Operations Management from Kansas State University and the Kansas Law Enforcement Training Center. ​

Jason Scoffield

Jason Scoffield

Audax Management Company

Chief Compliance Officer

Jason is the chief compliance officer for Audax Group, based in Boston. Prior to joining Audax in 2015, Jason worked at Morgan, Lewis & Bockius LLP and Bingham McCutchen LLP as counsel, where he advised private fund clients and other investment advisers. ​

Jason received a J.D. from Duke University School of Law and a bachelor of arts from Brigham Young University.