Fireside chat: transitioning compliance technology solutions

Building a comprehensive compliance program dynamic enough to address the rapidly evolving regulatory landscape is a tall order. Chief compliance officers and their teams are under increasing pressure to evaluate and choose the right technology partner to meet their growing compliance needs in the face of potential changes to their costs, solutions, and platforms.

In this session, ComplySci Chief Executive Officer Amy Kadomatsu will be joined by a transition specialist, a client who has made the switch, and a legal specialist to answer questions such as:

  • What technology tools can compliance teams use to enhance their programs?
  • What should compliance teams consider when evaluating technology providers?
  • What do compliance teams fear most when thinking about switching technology platforms?
  • What is the transition really like, and is it worth it on the other side?
  • How do I get buy-in from leadership to make a change?
  • How can I make the switch as seamless and easy as possible for my team and our employees?
Marketo Form: 2330

Panelists

Amy Kadomatsu

Amy Kadomatsu

ComplySci

Chief Executive Officer

Amy joined ComplySci as Chief Operating Officer in 2018 and was named President in December 2019 and Chief Executive Officer in October of 2020. She is responsible for the overall strategic direction of the company and execution of its mission.

A serial entrepreneur, Ms. Kadomatsu was the co-founder of Instabot, an enterprise chatbot platform which allows marketers to engage and convert their users through conversational bots. She also served as the resident of ROKO Labs, a product strategy and technology consultancy, which works with global companies and VC-backed startups to accelerate their businesses and deliver award-winning experiences. Ms. Kadomatsu remains a ROKO Labs board member.

Taylor Johnson

Taylor Johnson

ComplySci

Vice President of Customer Success

Taylor Johnston leads the global customer success team, which is responsible for ensuring customers reach and exceed their objectives leveraging ComplySci. Taylor brings more than 10 years’ experience in building and scaling customer success teams in high growth SaaS companies. Most recently, Taylor served as the vice president of global customer success at SalesLoft, where she focused on building teams to deliver a best-in-class customer experience.

Chris DiTata

Chris DiTata

RIA in a Box

Senior Vice President, Compliance Operations and General Counsel

Christopher DiTata, Esq. is our Vice President and General Counsel. He holds a JD from NYU School of Law and a BA 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 brings a compliance and business law background to the company, with specialized knowledge in corporate governance and fund formation.

Mark Pinocci

Mark Pinocci

Transamerica

Enterprise Chief Compliance Officer

Mark Pinocci is Transamerica’s enterprise chief compliance and ethics officer and brings more than 25 years of experience in compliance and risk management in the broker-dealer, insurance, investment adviser, and banking industries. He oversees the compliance and ethics activities for the Transamerica organization, which includes the life companies, broker-dealers, investment advisers, retirement business, and mutual funds. Mark provides compliance and regulatory advice/guidance to business partners across the Transamerica enterprise. As the ethics officer, Mark is responsible for ensuring compliance with Aegon’s Code of Conduct and Transamerica Business Conduct Policy.​

Prior to joining Transamerica, Mark was the senior vice president and chief compliance officer for Citizens Bank’s Wealth Management Division. In this role he was responsible for the retail broker-dealer/investment advisor, premier banking and private bank compliance programs. Before Citizen’s Bank, he worked for Santander Securities LLC where he held the roles of deputy chief compliance officer and senior vice president, director of risk management.​

Mark holds the Series 7, 24, and 63 securities registrations.