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Moving Out of Excel: A Guide to Automating Compliance for Small to Mid-Sized Financial Firms

Small to mid-sized financial firms face distinct challenges in defining and executing on their compliance programs. Often tasked with drastically fewer 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.


Wendy Fraulo

Wendy Fraulo


Chief Financial Officer

Wendy Fraulo comes to ComplySci with over 20 years of working alongside high growth technology companies. Wendy’s expertise extends from building accounting teams to evaluating buy side and sell side M&A, primarily for private equity back portfolio companies.

Prior to ComplySci, Ms. Fraulo founded Abingdon Square Partners, a finance and accounting consulting firm that specializes in providing outsourcing services and assisting private equity portfolio teams, venture capitalists and management teams, after serving as CFO of publicly traded OTC Markets Group for four years. Prior to OTC, Wendy spent twelve years in public accounting at Arthur Andersen and Deloitte & Touche in their Assurance and M&A Transaction Services focused on Technology, Media and Telecom.

Wendy holds a BS from Fairfield University and has executive education from Harvard Business School, Stanford Graduate School of Business Education and Columbia Business School.

Will Bressman

Will Bressman

RIA in a Box


Will is President at ComplySci and RIA in a Box. Originally, Will acquired RIA in a Box via a search fund (Rushmore Partners) with his business partner, GJ King.

Earlier in Will’s career, he worked at LX.TV, a digital media content provider acquired by NBC Universal and Good Morning America.

Will resides in Brooklyn with his wife, Lindsay and two kids. Will is on the board of the Hebrew Free Loan Society and is the treasurer of Ariva. Will holds an MBA from the Graduate School of Business at Stanford University and is a graduate of Harvard College magna cum laude with a degree in History.