Elevating a Global Compliance Team Through Education
Large Adviser Reorganizes Legal & Compliance Department
"The most effective educators are those who teach from experience in a similar setting. ReGroup marshaled deep experience in the investment management industry to provide practical, actionable advice to seasoned and new compliance professionals alike."
Maureen M., Vice President and Chief Compliance Officer
Setting the Right Tone with a New GC/CCO
"Our firm's growth was faster than we anticipated, and our legal and compliance services didn't keep up. When we also needed to support changes in key professionals and expansion into Asia, we knew it was time to rethink our structure and resources in a smarter way to support the firm. ReGroup's industry knowledge and actual experience in the job was immediately credible. The process was efficient, smart, and thorough. Our results are happier internal clients, a lower-stress environment, and a more nimble ability to serve the firm's needs while managing costs."
Tim P., General Counsel
Evaluating CCO Compensation
"I hired ReGroup to coach me through extreme change in our firm when distractions (and expectations for success) were high. ReGroup absorbed complexity and pushback with thoughtful consideration of the facts, then provided solutions scaled to our size."
Kim T., Chief Compliance Officer and General Counsel
Investment Adviser Makes the Most of a Mock SEC Exam
The board of a global family of mutual funds requested a compensation analysis for their chief compliance officer. Our client was concerned that the amount and structure of the CCO's compensation was lagging in an increasingly competitive marketplace
Developing a Code of Ethics Program
"Having worked with Ann Oglanian in the past, I expected nothing less than the high level of professionalism and work quality we received. ReGroup made the mock SEC audit real for us. It was a great learning experience and the feedback we received was incredibly valuable as it was sensitive to our firm’s unique situation and perceived risks."
Doug P., Chief Compliance Officer
Conducting an Independent Anti-Money Laundering (AML) Program Audit
Facing increased due diligence from institutional investors, the CEO of a $2B SEC registered investment adviser sought to establish a code of ethics program.
Compliance Department Strategy
A mutual fund complex and an affiliated registered broker-dealer needed to conduct an annual independent AML program audit to satisfy regulatory requirements set forth by the USA PATRIOT ACT and FINRA Rule 3310.
A Hedge Fund Uses a Compliance Committee to Manage Risk
A multinational insurance company managed $70B AUM in captive assets of its parent company and global affiliates.
Establishing Relevant, Risk-Responsive Compliance Education
"This committee and Ann’s involvement as an independent compliance expert have become an invaluable resource to the firm and an integral part of our risk management efforts."
Peter G., Chief Compliance Officer and General Counsel
Code of Ethics Administration & System Utilization
A mid-sized registered investment adviser’s compliance testing revealed the need for a clear, consistent compliance training program for both new and current employees.
Implementing a Compliance Management System
In order to improve its operational efficiency, a $2B SEC-registered private fund manager purchased and implemented a compliance management system to assist in the administration of the firm’s code of ethics.
Independent Review of Compliance Program Design
“Working with ReGroup removed the guesswork from our compliance systems implementation. ReGroup managed the risk of investing in a system with outstanding project management and delivered a huge asset to our firm on time and on budget.”
Todd S., Chief Compliance Officer
Educating a Newly-Registered US Investment Adviser
"I trust ReGroup implicitly. I know they are on the right track, and I know enough about compliance to know this. Everything they uncovered has been pointed out for a good reason."
Robert L., President and CEO
Regulatory & Operational Risk Management
A privately-held, $40B asset manager had expanded its UK-based operations to the US, necessitating its registration with the SEC and adherence to US federal guidelines.
The CCO of a $7B AUM investment adviser requested assistance managing the firm’s compliance program and testing plan in a way that assessed, incorporated, and mitigated regulatory and operational risk.