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Conducting Effective Remote Workplace Audits
IA and BD compliance departments must regularly review/inspect/audit their firms’ workplaces – even when those workplaces are entirely virtual or are office/virtual hybrids. While each firm must develop a process suitable for its own situation, this session will walk you through the steps all firms need to map out a scalable, reusable process that will reliably identify what works, what can be fixed, and what needs to be replaced. Our panel will review methods to not only determine how each department is conducting its mandates, but also the crucial touchpoints where work flows from one department to another (and where so many problems arise).
After attending this session, attendees should be able to:
- Leverage intra- and inter-departmental reports to structure your audit process
- Use departmental desk procedures as a way to quickly assess which persons to speak with and documents to request
- Identify and correct crucial gaps in documentation
This virtual course is being taught as part of the Fall 2020 Compliance Conference. To learn more, visit our main conference webpage.
President and CIO, Artemis Global Security, LLC
Tim is a lifetime technology expert dating back to the early 1980’s utilizing DEC systems and VAX/VMS operating systems. In the investment business, he installed and configured first-generation quotron (ILX) and Instinet machines for hedge fund operators.
He has managed IT security for several business, including his own and non-profit organizations. He prides himself on a common sense and practical approach to identifying and mitigating risk.
Tim has been president of his own research and consulting firm, Lakeville Research LLC, advising hedge funds, private equity firms, broker dealers, and high net-worth individuals. His analysis of equity, commodity and currency markets has been published in several industry periodicals, including Barron’s. He has conducted risk analysis, structured accounts, and served as portfolio manager for hedge funds and private clients.
His industry and personal experience serves as a bridge to it security and regulatory issues for critical infrastructure firms. He has a B.A. in English from Yale University and a M.F.A. from Columbia University. He is Series 7 and 66 licensed (inactive).
Tara Stevenson began her career with National Regulatory Services (NRS) in 2009. In her starting role as a Compliance Examiner with NRS, she conducted over 900 mock FINRA and SEC exams on a national level. During her initial years with NRS, she gained experience with FINRA Rule 3120 WSP testing and has provided a number of firms with constructive guidance on implementation of an effective compliance program.
As a natural progression in her career, Tara started administering AML reviews for broker-dealer firms and consulting RIA firms on appropriate measures of designing a competent AML program and performing their annual review obligations.
In 2013, she successfully obtained the Investment Adviser Certified Compliance Professional (IACCP®) designation, allowing her to offer advisory clients an additional layer of expertise and industry knowledge.
In more recent years, Tara has assisted NRS’ broker-dealer firms through the rigorous FINRA registration process of completing New Member Applications (NMAs) and Continuing Member Applications (CMAs), providing guidance on the initial filing requirements and seeing them through each stage until completion. Her experiences also includes full-service investment adviser registration, U4, U5 filings and other various state-required registrations and exam filings.
She graduated from California State University of Long Beach, CA with a Bachelor’s Degree in Business Administration and Marketing, with an emphasis on Finance.
For Whom: Designed to increase the professional competence of Investment Advisers and Broker-Dealers.
Suggested Skill Level: Intermediate
Maximum Recommended Credit Hours for this session will include CLE, IACCP® and CPE.
CA MCLE = 75 minutes
IACCP® = 75 minutes
CPE = 75 minutes
For more information, check out the NRS Continuing Education Guide.