For CCOs, By CCOs: Tips to Mitigate Compliance Liability

For CCOs, By CCOs: Tips to Mitigate Compliance Liability

In this episode, former Chief Compliance Officers Korrine Kohm and Ariana Monchick discuss CCO liability, ways to avoid enforcement and best practices for compliance teams to mitigate risk and navigate regulatory complexities.



About Our Guest Speakers:

Korrine Kohm is CSS's Director of Retail Wealth Manager Services. Prior to CSS, Korrine was the Chief Compliance Officer and Head of Operations at Estabrook Capital Management where she was responsible for all compliance functions of this SEC-registered, $2.1B investment advisory firm. Korrine began her regulatory career while working at Allied Irish Bank (NY) in the Operations Department where she was a key member of AIB’s Compliance Committee, responsible for ensuring compliance with Federal and State regulations. An active member of the National Society of Compliance Professionals for over 10 years, Korrine earned her Investment Adviser Certified Compliance Professional (IACCPTM ) designation in 2006, is a member of the Association of Certified Fraud Examiners, and obtained her Certified Fraud Examiner designation. In addition to her experience in compliance and banking, Korrine began the 16-week intensive training course in Quantico, Virginia, to become a Special Agent with the Federal Bureau of Investigation. She has particular experience in crafting customized policies and procedures, developing and implementing compliance programs, conducting on-site compliance reviews, acquisition due diligence reviews, risk assessments and mock SEC examinations. She routinely counsels clients on various regulatory matters, including SEC registration issues, social media and advertising, policies related to diminished financial capacity, disclosures and the annual review process.


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.


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