Never before has the financial industry faced such a need to both define and successfully implement a culture of compliance. Organizations across the country and around the globe continue to face fluctuation in work environment and protocols – a challenge which, given the ongoing nature of COVID-19, necessitates a symbiotic relationship between HR and Compliance teams.
But what really makes up a culture of compliance? And how can organizations of all sizes implement tactics to drive not only organizational compliance but individual responsibility? In this webinar, we sit down with both compliance and HR professionals to discuss and define a Culture of Compliance.
This webinar covers:
- Defining your culture of compliance: Beyond just buzzwords, the tactics organizations can implement to start on the road to a stronger, more unified culture of compliance.
- Why culture is the key to compliance: Highlighting the role culture plays in a firm’s ability to comply with specific rules and regulations
- Scaling for success: The different challenges faced by both large and small organizations when defining and implementing a culture of compliance, especially in a hybrid work environment
- Finding the right technology: Why integrating the right compliance technology enables firms to solidify the culture around compliance as well as the structure of compliance programs
Chief People & Services Officer
Danielle Schlar joined ComplySci in December of 2019. She is responsible for the oversight and management of the company’s people function and manages the company’s administrative activities. She comes to ComplySci with over 15 years of experience in HR and Recruiting and deep expertise building successful teams at growth-stage software companies. Prior to ComplySci, she was the Global Head of People at LRN, where she led all aspects of the HR function both in the US and India.
Danielle is Certified as Senior Professional in HR (HRCI) and Senior Certified Professional in HR (SHRM) and has managed the HR function for both large financial institutions and fast-growing start-ups. Prior to LRN, she built the HR function at Relationship Science a start-up in the technology and information services space. She has a BA in Psychology and a MS in Human Resources Management both from New York University.
Chief Technology Officer
Sunil joined ComplySci as CTO in 2020 with a wealth of experience and an impressive 15-year record of success in planning, developing, and deploying scalable enterprise business and product solutions that are both client and end-user focused. Prior to joining ComplySci, Sunil worked at LRN, a company focused on advising and educating on ethics, regulatory compliance, and corporate culture.
Sunil also managed product strategy and execution for StayWell and PowerMyLearning.com and spent eight years with McGraw Hill Education as Vice President of MHHE Digital Technology, leveraging his strong understanding of customer learning habits to create valuable instructional applications, integrations, assessments, and resource materials for purchase. Earlier in his career, Sunil worked as a technology consultant for BBC Technology, LLT and iXL Inc., where his clients included National Public radio (NPR), Fox Filmed Entertainment, ESPN, PricewaterhouseCoopers (Global Knowledge Management Group and Learning Group), and The Golf Channel.
RIA in a Box
Jason joined RIA in a Box from the Office of the Kansas Securities Commissioner where he worked as a Senior Special Agent. 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 started with the office in 2011, conducting investment adviser and broker-dealer examinations. Jason served two years on the NASAA Investment Adviser Cyber Security and Technology Project Group dealing with issues related to cyber security 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. Jason is a graduate of Kansas State University with a B.S. in Operations Management, and the Kansas Law Enforcement Training Center.
Rob Stirling, Executive Consultant, has worked with NRS for much of the past four decades: from October 1991 to June 2000, from May 2002 to June 2004, on a part-time basis starting in December 2007, and returning full-time in August 2008. Rob is based in Miamisburg Ohio.
Rob has prepared, reviewed and/or updated hundreds of ADVs representing firms of all sizes and engaged in every aspect of investment advisory services. He has helped design and monitor specialized compliance programs for advisers based in Europe and Asia doing business in the United States and for Internet-based advisers. He regularly reviews advertising and marketing materials, including websites, for compliance with SEC guidelines. Rob has performed well over two hundred mock examinations of advisory firms, and he has spoken at numerous compliance conferences and seminars.
During his times away from NRS, Rob was himself a compliance officer. Rob was Chief Compliance Officer of PrivateAccounts, Inc. from July 2000 to October 2000; when that firm was purchased by E*TRADE Financial, Rob worked at E*TRADE as a Compliance Manager from November 2000 to May 2002. Rob was Chief Compliance Officer and General Counsel of Eubel Brady & Suttman Asset Management, Inc. from June 2004 through July 2008.
Rob earned a BA in Religion from the American University and a JD from the University of Connecticut School of Law. Rob has been admitted to the Connecticut Bar.