During the webinar, our esteemed panel of global leaders discuss the following topics:
- Shifting Work Environment: Compliance scope is only increasing – how should you be preparing?
- Cryptocurrency has gone mainstream: Your compliance teams need to be prepared for the new current of currency.
- Tracking MNPI: An SEC priority that will impact your compliance efforts.
- Data management: 71% of compliance professionals consider data management a top 2022 challenge – don’t let it be one of yours.
- SEC’s new Marketing Rule: Investment advisers have until November 4, 2022. But are you still one of many relying on manual processes to meet regulation?
Optima Partners Compliance Advisory
Ben is one of Optima’s Directors where he oversees compliance relationships across a range of hedge fund and private equity firms of varying structures and strategies with a combined AUM in excess of $300bn. He has a strong focus on US regulation from a UK perspective and has lead on both mock and live US regulatory examinations.
Prior to joining Optima Partners, Benjamin worked at the Financial Conduct Authority (“FCA”) in the Authorisation and Supervision teams. Whilst at the FCA Benjamin was responsible for assessing authorisation applications and monitoring Firm behaviors.
Before joining the FCA, Benjamin provided external compliance assistance to the Royal Bank of Scotland where he monitored staff conduct to ensure it was in line with FCA COB standards. Preceding his tenure at the FCA, Benjamin worked for Deloitte assisting with the large remedial projects to ensure its clients were in line with their respective regulatory obligations.
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.