The live webinar will explore critical steps to prepare for an audit, highlighting benefits of using technology and consulting services in mitigating potential deficiencies

The Oct. 6 event is the final installment of a three-part series on compliance technology integration for long-term success hosted by ComplySci

New York, Sept. 21, 2022 – ComplySci, the leading provider of regulatory technology and compliance for the financial services sector, announced today an Oct. 6 webinar designed to arm chief compliance officers and compliance professionals with the tactical steps needed to prepare for, take part in and respond to a regulatory audit, including how to effectively leverage compliance technology and consulting services.

The session, which is the final in a three-part education series, will provide attendees with best practices to help avoid common deficiencies and pitfalls, as well as first-hand perspective on the benefits of leveraging compliance technology and outside expertise. Are You Audit Ready? How to Leverage Compliance Solutions to Prepare and Remain Compliant will air Thursday, Oct. 6, at 2 p.m. Eastern. Panelists include:

  • Audax Management Company Chief Compliance Officer Jason Scoffield.
  • RIA in a Box Senior Vice President of Compliance Operations and General Counsel Chris DiTata.
  • ComplySci Senior Director, North America Zack Andresen.
  • RIA in a Box Director of Compliance Jason Vinsonhaler.

“In the financial services industry, it isn’t a matter of if you will be audited, it is a matter of when,” said ComplySci Chief Executive Officer Amy Kadomatsu. “Throughout this webinar series, we guided participants through the process of identifying, assessing, selecting and transitioning to a new compliance technology platform. With the final webinar, we sought to answer the ‘what’s next’ for compliance professionals, preparing our audience for the inevitability of an audit with tried-and-true practices, which have helped our clients navigate these regulatory actions over the years.”

Those who register and attend will also be able to take advantage of a free consultation with a transition specialist to discuss firm-specific requirements and additional questions they may have about how to evaluate platform options and the internal processes, which accompany any technology transition.

The series’ first two sessions, which focused on selecting a new compliance technology partner and the process of transitioning, can be viewed at complysci.com/resources/events/.

About ComplySci
At ComplySci, we believe 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. Its portfolio 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 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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Donald Cutler/ Julian Arenzon
Haven Tower Group
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