Compliance in the Time of COVID-19: The New Normal

Overview

Who Should Join

Chief Compliance Officers – Compliance and Internal Audit
Legal Counsel, General Counsel and Attorneys
Compliance and Market Conduct VPs, Directors, and Managers
Compliance, Market Conduct and Legal Staff
Audit and Risk Management Managers and Staff
AIRC Designees

Highlights

The pandemic has created a situation like most of us have never seen. As a result, we’ve never needed to stay connected and engaged more than now.

In this first session of the Regulatory Compliance Exchange Series, experts from Oliver Wyman will join with Chief Compliance Officers to discuss effectively moving toward the compliance practice new normal.

Moderated by LL Global’s own Chief Compliance Officer, Skip Edmonds, panelists will discuss ways compliance leaders are shifting activities and focus to support the new realities of doing business in the midst of a global crisis. We’ll discuss frequent and dynamic risk assessments, staying engaged with senior management, keeping up with changing regulations, managing compliance in a remote work environment, and more.

Invite your entire team and use these sessions as a springboard for discussion in your next team or senior leadership meeting.

Moderator

Skip Edmonds

Head of Compliance and Regulatory Practice, LL Global

Skip Edmonds

Head of Compliance and Regulatory Practice, LL Global

In 2020, Skip Edmonds joined LL Global to lead its Compliance and Regulatory Services program. In this role, he is responsible for all aspects of LL Global’s Compliance and Regulatory Program. This includes product development, research, strategic networking, and the convening of member companies to resolve complex compliance and regulatory matters. Edmonds also is responsible for leading the organization’s key strategic initiatives in the regulatory and compliance space, ensuring LL Global is positioned as a key resource for member companies.

With more than 25 years of experience, Edmonds has helped financial services companies strategically navigate the growing complexities in the regulatory space. Most recently, he held the position of chief compliance officer for Prudential’s Workplace Solutions Group, which is comprised of Prudential’s Retirement and Group Insurance.

Edmonds holds a Bachelor of Arts degree and a Master of Education, both from the University of Hartford. Edmonds also holds his Series 7 and 24 FINRA General Securities Principal registrations.

Presenters

Elena Belov

Partner, Financial Services, Oliver Wyman

Elena Belov

Partner, Financial Services, Oliver Wyman

Elena Belov is a Partner in the Risk & Compliance and Organizational Effectiveness practices in Oliver Wyman’s New York Office. Elena has over a decade of experience in consulting to leading financial services institutions in North America, Europe and the Asia Pacific region. Elena focuses on consumer data privacy and protection, culture and conduct, risk and compliance management efficiency and effectiveness, corporate governance and organizational optimization

Allen Meyer

Partner and Americas Compliance Head, Oliver Wyman

Allen Meyer

Partner and Americas Compliance Head, Oliver Wyman

Allen Meyer is a Partner at Oliver Wyman based in New York. He is a member of both the Americas Risk and Public Policy and Corporate and Investment Banking Practices and leads the Compliance Practice for the Americas. Allen specializes in regulatory Compliance and Anti-Financial Crime related topics and has held a number of Compliance leadership roles in the industry prior to joining Oliver Wyman in 2016.

Noreen M. Fierro

Senior Vice President, Chief Ethics and Compliance Officer, Guardian

Noreen M. Fierro

Senior Vice President, Chief Ethics and Compliance Officer, Guardian

As Guardian’s Senior Vice President, Chief Ethics & Compliance Officer, Noreen leads the ethics and compliance program for the enterprise including responsibility for Guardian’s Code of Conduct. Noreen’s responsibilities include oversight of 87 compliance professionals who have accountability for business unit compliance and corporate shared services compliance including anti-money laundering and sanctions compliance, privacy law and compliance, anti-bribery/anti-corruption law and compliance, oversight of all regulatory inquiries and exams including market conduct exams, FINRA and SEC examinations, compliance risk assessments, the records retention program, customer complaints reporting and metrics, policy governance and compliance training.

William Moorcroft

Vice President & Chief Compliance Officer, Nassau Financial Group

William Moorcroft

Vice President & Chief Compliance Officer, Nassau Financial Group

William Moorcroft is VP & Chief Compliance Officer at Nassau Financial Group, which includes several insurance entities including Nassau Life an Annuity Company and Nassau Life Insurance Company, where he heads the Compliance organization. Prior to Nassau, over his 20-year career he held several compliance leadership roles at The Phoenix Companies, Lincoln Financial Group, MetLife and Travelers Life and Annuity. In addition, William is CCO of 1851 Securities, a Nassau affiliated broker-dealer and he maintains numerous securities licenses. William started his career in financial services as a Registered Representative with Linsco/Private Ledger and Cambridge Investment Research, he has undergraduate degrees in Political Science and Environmental Studies and currently is a law school student.

Contact us to learn more:

Joan O'Neil

Senior Conference Coordinator

LIMRA

(860) 285-7741

joneil@limra.com