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Field of Study:
Management Advisory Services: 1 CPE Credit
Program Delivery Method: Online
Program Level: Intermediate
Advance Preparation/Program Prerequisites: None
Regulatory complexity and constant attention from regulators is more common now than ever before. It is becoming difficult for organizations to keep up with the challenges in compliance while also measuring and monitoring compliance risks. Given the nature and levels of risks inherent to their business activities, organizations need to have in place a compliance-risk management framework that makes it possible to identify, monitor, and effectively control the compliance risks facing their entire organization. It’s no surprise then that compliance risk management has emerged as a key business priority across the globe.
To find out more, please join this MetricStream webinar that will cover:
Please fill mandatory fields
*Attendees must attend minimum 50 minutes of live session and respond to all the poll questions.
"Risk Assessment and Mitigation: The foundation for a successful compliance program" - This course is approved by NASBA (National Association of State Boards of Accountancy). The Live online webinar attendees* are eligible for 1 CPE credits upon completion of training.
Ms. Roberts is a securities and compliance expert with over 25 years of experience managing regulatory and risk management matters for broker-dealers and registered investment advisors. She is the President and Chief Executive Officer of Cheatham Roberts Consulting, Inc. Prior to joining the Company, Laurie was Managing Director and Chief Compliance Officer of Civitas Capital Group and each of its operating divisions, including EB-5 Capital, Alternative Investments, Real Estate Development and Asset Management. Under Laurie’s stewardship, Civitas Capital created over 53 funds and increase in assets under management from under $100 Million to over $1.3 Billion, completing 47 real estate projects with investors located in 30 countries. Prior to joining Civitas Capital, Laurie was President of USA Mutuals and USA Mutuals Advisors, Inc. In that capacity, she directed all operations of the trust through US Bank Fund Services and the advisor, including oversight of the sub-advisor, sales and marketing, public relations, financial operations, portfolio management and compliance. She also co-founded two broker-dealers where she acted as their Chief Compliance Officer. She holds FINRA Series 7 and 24, securities licenses. Laurie holds a Master of Science in Organizational Development from the University of Texas at Dallas and Bachelor of Science in Business Administration from Oklahoma State University.
Ms. Saaqib is the Senior Manager at MetricStream. She come with 10+ years of experience in presales, business development and marketing roles in the information technology industry. At MetricStream, she primarily handle product marketing for Policy and Document Management, Case Management and the Compliance Management Solution. As part of the role, I am responsible for market analysis, product prioritization, driving the marketing strategy and planning, competitive analysis, demand generation and sales enablement.
Mr. Kumar is a thought leader in the Governance, Risk and Compliance (GRC), and CRM domains. He has over 8 years of experience in building path breaking enterprise software in these areas. Mr. Kumar helps drive the product strategy for operational risk management and business continuity management from a product management point of view at MetricStream - The one stop place for any GRC solution. He has helped small to medium to large enterprises across industries and geographies with their operational risk management and business continuity management programs and technology implementations.
Ms. Delmar is the Vice President of GRC Solutions at MetricStream and is focused on the company's GRC market leadership. She has over 30 years of experience in Information Technology and Management, with a focus on Governance, Risk and Compliance over the past 10 years. Ms. Delmar is responsible for MetricStream's Customer Program for over 300 companies world-wide and drives MetricStream's GRC Journey Program which provides expertise in helping companies implement strategies and programs for governance, risk and compliance (GRC) solutions that add strategic value while delivering dramatic cost savings. Ms. Delmar has led start-ups and business units within system integration and outsourcing companies, and provided advisory services to F1000 on the implementation of GRC programs. She holds a B.Sc. (Honors) in Mathematics and Computer Science and an M.B.A. from Dalhousie University in Canada. She is also a Certified Management Consultant (CMC), Certified in Governance of Enterprise IT (CGEIT), and a Certified Information Security Manager (CISM).