Elevating a Global Compliance Team Through Education
Coaching Senior Tech and Operations Staff
"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
"ReGroup taught me how to instill a shared sense of ownership and accountability across our team so we could meet our firm's 'white glove service' standard in a time of extraordinary growth. Ann helped me focus on what could add value and develop the confidence to set aside what didn't."
Nicole G., Head of Investment Operations
Compliance Department Strategy
"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
Transition Strategy and Coaching
A multinational insurance company managed $70B AUM in captive assets of its parent company and global affiliates.
Establishing Relevant, Risk-Responsive Compliance Education
"We worked with ReGroup to help our firm successfully navigate multiple management changes. They exceeded my expectations - the hands-on nature of the services they provided, their ability to identify with our employees, and the level of insight they provided were exemplary."
James T., President and General Counsel
Educating a Newly-Registered US Investment Adviser
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.
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.