podcasts-template-default,single,single-podcasts,postid-25138,stockholm-core-1.2.1,translatepress-en_GB,stockholm,select-theme-ver-5.2.1,ajax_fade,page_not_loaded,menu-animation-underline,wpb-js-composer js-comp-ver-6.1,vc_responsive

The Next Generation of Compliance

The Next Generation of Compliance

In this episode, CSS’s team of former Chief Compliance Officers Dan Haynes and Ariana Monchick sit down to discuss the importance of mentoring early-career professionals in your compliance department. Not everyone grows up wanting to be a CCO, but there are best practices to develop talent and build a robust compliance community from the grassroots.

Our speakers:

Dan Haynes joined CSS in 2017 as a consultant providing consulting services to investment advisers, registered investment companies and private investment funds. Prior to joining CSS, Dan was the Chief Compliance Officer for Summit Strategies Group. Summit is a large institutional pension consultant in the Midwest with multiple private funds – ultimately around $180 billion in assets under administration. Dan implemented several aspects of, and oversaw the entire compliance program. His time there resulted in experience in NFA/CFTC registration and regulation, Private Fund oversight, and the pension consulting world overall. Prior to Summit, Dan was the Chief Compliance Officer for Buckingham Asset Management and BAM Advisor Services. Dan is also a member of the Charles Schwab Compliance Advisory Board.

Ariana Monchick is a Senior Consultant for CSS's compliance services team, and offers broad expertise on securities and investment advisory regulations. Ariana's experience working in senior compliance positions at various financial services firms allows her to offer effective and comprehensive compliance solutions while maintaining a big-picture orientation. She has established a strong background in developing robust compliance programs for organizations and partnering with business leaders to mitigate risk. Most recently, Ariana was an Advisory Chief Compliance Officer for Cetera Financial Group, one of the largest family of independent broker-dealers in the United States. She was also the Chief Compliance Officer for Legend Advisory Corporation, a registered investment adviser that services the 403(b) retirement plan market.


Subscribe to Coffee & Regs on the platforms below.

CSS Podcast Notifications

Sign up to be notified when new podcasts are released.