ComplyConnect Conference & Expo provides three days of information-packed sessions, keynotes and networking opportunities for regulatory and compliance professionals   

New York, July 7, 2022 – ComplySci, the leading provider of regulatory technology and compliance for the financial services sector, will be a founding sponsor of a new comprehensive regulatory and compliance event, ComplyConnect Conference & Expo. The three-day conference is already slated to include a keynote address from Security and Exchange Commission (SEC) Director of the Division of Examinations Richard R. Best and the presentation of the first annual ComplyConnect awards.

The conference, co-sponsored by ComplySci’s family of firms – NRS, RIA in a Box, illumis and ITEGRIA – will be held Nov. 8 – 10 at the Omni Barton Creek Resort in Austin, Texas. Regulatory and compliance professionals, industry leaders and technology experts from across the U.S. will discuss current trends, industry best practices and the impact of recent SEC and Financial Industry Regulatory Authority (FINRA) regulations.

“The success of financial firms’ compliance programs requires opportunities for leaders to connect and discuss best practices, technological advances and regulatory changes, and unfortunately there are very few venues for these kinds of broad-based interactions,” said ComplySci Chief Executive Officer Amy Kadomatsu. “As our family of firms continues to grow, we wanted to build on the success of the long-standing NRS Spring and Fall Compliance Conferences by creating an industry-leading event. ComplyConnect brings together chief compliance officers and their teams, as well as thought leaders, from across the country to drive innovation, provide continuing education and build a strong professional community to shape the future of our industry.”  

Industry awards
The conference will also feature the first-ever ComplyConnect awards program. Regulatory and compliance professionals and stakeholders can nominate individuals and companies for:

  • Compliance Officer of the Year
  • Compliance Innovator of the Year
  • Compliance Provider of the Year
  • Compliance Educator of the Year
  • Future Compliance Star of the Year

Nominations will be reviewed by a panel of industry-leading experts. Nominations can be submitted through the ComplyConnect Awards page until Sept.1. Finalists will be announced in October and winners on Nov. 9 during the ComplyConnect Conference & Expo.

“Compliance professionals are some of the most meticulous and dedicated leaders within their organizations and we want to celebrate all they do,” said Kadomatsu. “These awards will give professionals a chance to recognize one another as we honor the outstanding individuals and teams who are truly making a difference in the industry.”   

Registration information
ComplyConnect provides participants with several options to maximize their learning and networking opportunities. The event will feature an expanded version of the legacy NRS Compliance Conference and offer Investment Adviser Certified Compliance Professional (IACCP®), continuing legal education (CLE), continuing professional education (CPE) and certified financial planner (CFP) continuing education credits. It will also include a technology track, as well as invitation-only executive and customer summit options.

Pre-conference workshops, including an introductory course for professionals new to the compliance industry and a women in compliance roundtable, will also be offered on Nov. 7.

Early-bird, all-access registration is available through Aug. 19. Learn more about the ComplyConnect Conference & Expo, including registration, sponsorships and more at complyconnectexpo.com.

About ComplySci
ComplySci believes advanced compliance technology empowers compliance professionals to transform their business. More than 7,000 customers, including some of the world’s largest financial institutions, rely on ComplySci’s scalable and sophisticated platform to stay ahead of risk and unlock the strategic potential of their compliance data. The company’s family of firms includes ComplySci, RIA in a Box, illumis, a ComplySci company, NRS, a ComplySci company, and ITEGRIA®, a division of RIA in a Box.

Together, the family of firms offer a full suite of governance, risk and compliance (GRC) consulting, technology, managed services, analytics and outsourcing solutions for the financial services industry. Its regulatory technology solutions help compliance organizations identify, monitor, manage and report on risk and conflicts of interest, including personal trading, gifts and entertainment, political contributions, outside business affiliations and other Code of Ethics violations. Learn more at complysci.com.

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