Doing More With Less: Challenges of a Small Firm Compliance Department

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New York CLE
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About This Course

This CLE course will explain how to mitigate regulatory risk while simultaneously fulfilling your duties as officers of the firm. The course will explain how to create a fiscally responsible compliance program and how to ensure commitment to its policies.

Presented by FINRA staff and industry practitioners, the course will explain both how to assess and avoid potential risk situations as well as allocate resources for the establishment of a compliance program. The course will cover issues such as risk, cost and need, non-compliance expenses budget, researching vendors and other resources including experienced compliance professionals.

*This course qualifies as a Transitional course and can be taken by both Experienced and Newly Admitted attorneys in NY.

Lecturer Bios

Elizabeth Page

Elizabeth Page is the Vice President and Director of FINRA’s Boston District office. In this role, she is responsible for the regulatory programs that oversee the FINRA firms and registered representatives within New England and portions of Canada and Europe. Prior to her position in Boston, Ms. Page was the Deputy Director in the FINRA’s Chicago District office and has served in a variety of staff and management roles including managing and conducting onsite examinations of the main offices and branches of FINRA firms, investigations of customer complaints and terminations for cause and applications for membership.

Ms. Page has a Bachelor degree in Finance and a Master of Business Administration degree from the University of Denver.

John Hickey

John Hickey is the Deputy District Director for the FINRA New York District Office. He supports the Director in leading and managing the Cycle and Branch regulatory programs for approximately 1000 member firms. Additionally, he works with the Regional Director, District Director, Associate District Directors and Surveillance Directors to develop and implement strategic and tactical measures necessary to ensure timely, high-quality completion of District’s regulatory programs.

Prior to this role, John served as an Associate Director at FINRA and managed a unit of approximately 23 individuals responsible for conducting cycle, cause and branch examinations of several member firms. John has over 16 years of regulatory experience while employed at FINRA and prior to that at NASD and has worked as an examiner, supervisor and manager during his career.

Before joining NASD, John spent three years in the Operations Department at a clearing firm, where he worked in the Margin Department. Mr. Hickey has a B.S. in Management from University of Rhode Island. Mr. Hickey also holds the Certified Regulatory and Compliance Professional TM, CRCPTM designation.

Danielle Williams

Danielle Williams is Compliance Officer of Coordinated Capital Securities, Inc. (CCS), a small broker dealer and SEC registered investment advisor in Madison, WI. She started her industry career at CCS 13 years ago in operations before transitioning to compliance.

These roles provided a wealth of knowledge and experience of the industry in general as well as the inner workings of a small firm. In 2018, Ms. Williams took a position as an Agency Supervisory Officer with MassMutual focusing on compliance and supervision, including branch examinations, retail communications and outside business activities. In March 2020 she returned to CCS in the role of Compliance Officer. Her focus has always been to build strong working relationships with the financial professionals that she supervises while maintaining a tone-from-the-top culture of compliance.

Bob Chung, Esq.

Bob Chung is General Counsel and Chief Compliance Officer for Arete Wealth, an independent broker dealer and registered investment advisory firm with approximately $4 billion under management. In 2019 and 2020, Arete was recognized by industry publications as one of the fastest growing financial services firms in the nation and specializes in alternative investments. Before joining Arete in 2013, Mr. Chung was Senior Regional Counsel for FINRA Enforcement for nearly a decade.

While with FINRA, Mr. Chung investigated hundreds of cases and brought over 150 enforcement actions against firms and individuals for violations of FINRA Rules and Federal Securities Laws. Prior to FINRA, he was a Chicago criminal prosecutor with the Cook County State’s Attorney Office specializing in complex financial crimes and government corruption. Mr. Chung received his B.A. from Oberlin College and his J.D. from Loyola-Chicago School of Law. He also received a second law degree, an LL.M., in Financial Services Law from the Chicago-Kent College of Law.

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Accreditation and CLE Rules for New York

Doing More With Less: Challenges of a Small Firm Compliance Department

New York CLEAccreditation Info

About This Course

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