Elevate Your Annual Review
One of the biggest challenges for CCOs is to keep the annual review process fresh, ensuring that the review remains relevant. Business changes, emerging risks, new rules and SEC exam and enforcement priorities demand that the annual review process continuously evolve. In this panel, industry experts will share tips and strategies for invigorating? and advancing your annual review.
Join us as we discuss:
- Breaking the “rinse and repeat” cycle
- Evaluating risks to direct your attention to the key topics
- Building on past lessons
- Incorporating regulatory priorities and emerging issues
- Testing the “effectiveness of implementation” of firm procedures
- Considering the impact of changes to your business, such as new strategies, new technologies, new services and new people
- The Great Report Debate
Speakers
-
Matt CalabroManaging Director, Salus GRCMatt Calabro is a Managing Director at Salus GRC. His broad compliance, operations and consulting experience enables him to help organizations make compliance a strategic asset. He works with firms to develop compliance programs, conduct risk assessments and exams and implement control improvements. He has specific expertise on compliance matters relating to investments and trading for equities and fixed income, including CLOs and structured credit. Matt is an experienced chief compliance officer, having served as CCO for registered mutual funds, investment advisers and UCITS funds, both in an in-house and outsourced capacity.
Before joining Salus GRC, Matt was Executive Director and co-head of the Compliance Services practice at Confluence Technologies (formerly Ascendant Compliance Management). There, he was responsible for all aspects of the business, including business development and leading a team of consultants in client delivery. Prior to that, he was Deputy CCO at Macquarie Investment Management, where he led the daily activities of the firm’s compliance department and oversaw improvements in the compliance program and technology. Before Macquarie, Matt spent 20 years in Raymond James’ asset management business in a variety of compliance, operations and financial executive roles, and ultimately led mutual fund operations. Matt began his career as an auditor at Price Waterhouse.
Matt earned his B.S. in Accounting and Master of Accounting from the University of Florida. He is a Certified Public Accountant.
-
Robert H. SuttonPartner, ProskauerRobert Sutton is a partner of the Private Funds Group and a member of the Corporate Department. He is a seasoned practitioner with over 20 years of experience counseling managers and advisers of private funds on regulatory matters, as well as regulatory issues related to the formation and operation of private equity, credit, real estate, infrastructure, hedge and other private funds.
Rob has a deep knowledge of the market practice of asset managers and in particular, as it relates to Advisers Act-related issues. From some of thelargest and most sophisticated firms in the global asset management industry to start-ups and mid-sized firms, Rob’s experience includes a wide spectrum of funds and asset classes across their life cycles. Rob regularly advises on matters in connection with: U.S. investment adviser registration and regulation; Advisers Act and other U.S. securities law issues relating to the formation, marketing and offering of private funds; Identifying and managing conflicts of interest, and addressing related Advisers Act risks, SEC examinations, and exam readiness preparation; Design and implementation of investment adviser compliance policies and procedures; U.S. regulatory issues relating to purchases and sales of investment advisory businesses (minority stake and control stake transactions, buy-side and sell-side representations); Advisers Act and other U.S. regulatory issues relating to private fund restructurings and recapitalizations, strip sales, continuation fund formations and similar transactions; Advisers Act issues relating to the formation of SPACs by investment advisers; and, Investment Company Act status analyses of private fund structures, investment transaction structures and other non-registered investment company structures.
Rob has been recognized by his clients and peers for his extraordinary work, gaining various accolades including mentions in preeminent directories such asThe Legal 500. He is also very active within the private funds industry, contributing to numerous publications and collaborating on several speaking engagements.
-
Michele HawkinsCCO, Managing Director, Fort WashingtonMichele Hawkins is Managing Director and Chief Compliance Officer for Fort Washington. Hawkins has over 30 years of experience in the securities and financial services industry. Her duties have included investment advisor, mutual fund, broker-dealer, and transfer agent compliance, trading, operations and management.
Hawkins joined the firm in 2000. Prior to joining Fort Washington she worked for Countrywide Financial Services, Inc., Leshner Financial Services, Inc., EF Hutton and Paine Webber.
-
Jerry BlackburnDirector of Compliance, Fort WashingtonProven leader with 20+ years experience in assurance, finance, accounting, and compliance. Goal oriented, self-starter, innovator and thinker with the ability to communicate effectively at all levels of an organization. Compassionate team leader and mentor, encouraging personal and professional growth in team members. Proactive problem solver who engages with stakeholders to achieve change results, improving processes and people for the betterment of my team and organization. Believer in productivity and optimized work streams while challenging myself and teammates to push beyond our current thoughts to reach new goals and dreams.