Compliance Budgeting: Reducing Risk While Doing More with Less

Listen to our webinar “Compliance Budgeting: Reducing Risk While Doing More with Less”

Overview:

Whether you are an emerging private fund, FinTech, or a large global investment bank/asset manager your regulatory and compliance burdens continue to increase, while the pressure to reduce headcount and limit costs also grows. Join Treliant’s Securities and Investment Management Compliance practice leader Alan Halfenger and a panel of industry experts as they explore ways to enhance your compliance program and decrease risks through technology, outsourcing, and budgeting/critical task planning.

Takeaways:

• Learn how to use automated tools to monitor big data to gain critical insights on the organization’s key risks;
• Create efficacies around repetitive tasks through the use of part-time and outsourced resources;
• Reorganize monitoring and testing tasks to match frequency to the level of risk;
• Use job sharing and overnight processing to address volume spike and surges; and
• Address audit and regulatory concerns on managing compliance budget growth.

Speakers:

Alan Halfenger (Moderator), Managing Director, Treliant

Keith Pyke, Director, Solutions-Sales, MyComplianceOffice

Brent Taylor, Former GC and CCO

Listen to the webinar here: