February 18th Seminars: Exam Priorities / Risk Management

Registration Type	Price
NSCP Members	$100
Non-Members	$200

Sara Andres

Two12 Financial Services
Sara has a depth of senior leadership experience in the financial services industry with a focus on Risk Management, Supervision and Compliance. Sara currently serves as the CCO at Two12, in Austin, TX. Through her consulting practice, Antestari, Sara provides various independent advisory and broker dealer clients with compliance and risk management solutions. She has served as Chief Compliance Officer for a variety of advisory and broker/dealer firms including M Financial, Capital One Investing, Capital One Advisors LLC., TD Ameritrade and Ameritas Investment Corp. In these roles Sara directed compliance and/or risk functions, served on a variety of governance, investment and risk oversight committees, oversaw regulatory examinations and led teams of compliance and risk professionals. Sara has been active in the industry serving on various Securities Industry and Financial Markets Association (SIFMA) and Financial Industry Regulatory Authority, Inc. (FINRA) committees. Sara has served on the advisory boards of both the University of Nebraska College of Business and their MBA program; and also served as a board member for the Omaha Area Youth Orchestra. Sara completed the FINRA Institute at Wharton and as such is a designated Certified Regulatory and Compliance Professional. She holds multiple securities licenses and is a graduate of the University of Nebraska–Lincoln.

Brock Cooper

Principal Securities, Inc.
Brock has spent over 20 years in the financial services industry in sales, support, supervision and compliance capacities, the last 15+ coming in various capacities on the compliance side of the business. He has developed a deep understanding of the independent and dual-registrant models as well as wholesale insurance and bank distributions. He has studied regulations and developed policies and procedures across all aspects of the business to comply with those rules and regulations. Brock has a combination of experience in sales, sales support and supervision which has provided him a strong basis to be able to bridge the communication gap that often exists between the sales, supervision, compliance, and audit functions of a firm. Brock currently makes his home in Des Moines, Iowa, spending whatever free time he musters with Dana, his wife of over 22 years; his son Noah, who was born earlier this year; and extended family and friends enjoying sports, the outdoors, and all that the Midwest has to offer.

Carlo di Florio

ACA Compliance Group
Carlo di Florio is the Global Chief Services Officer of ACA Compliance Group. At ACA, Carlo is responsible for defining and executing the vision for ACA’s governance, risk, and compliance (“GRC”) service offerings. His responsibilities include oversight, management, and strategic growth of ACA’s global regulatory compliance, cybersecurity and risk, AML and financial crimes, and performance practices. Prior to joining ACA, Carlo worked for over 25 years in executive leadership roles at PricewaterhouseCoopers (PwC), where he was a Partner in the Financial Services Risk & Regulatory Practice; the Securities and Exchange Commission (SEC), where he was the Director of the Office of Compliance Inspections and Examinations (OCIE); and the Financial Industry Regulatory Authority (FINRA), where he was the Chief Risk & Strategy Officer. In these roles, Carlo led the design and implementation of large-scale regulatory compliance improvements, technology and data analytics transformations, and risk management program enhancements. Carlo also serves as Co-President and Governor of the Risk Management Association (RMA) NY Chapter and as Adjunct Professor at Columbia University, Master of Science program in Enterprise Risk Management. Carlo has been named one of the 100 Most Influential Leaders in Corporate Governance by the Association of Corporate Directors; one of the Top Trailblazers & Pioneers in Governance, Risk & Compliance by The National Law Journal; and one of the Most Influential People in Finance by Worth Magazine.

Victoria (Vicky) Hogan

NorthPoint Compliance
Victoria Hogan, CFA, President of NorthPoint, worked for over six years as a compliance examiner in the New York Regional Office of the U.S. Securities and Exchange Commission (SEC). At the SEC, she led cause and routine examinations of a broad range of investment advisers including fixed income and equity advisers, alternative asset managers, hedge fund of funds, dually registered advisers, pension consultants, financial planners, and advisers to investment companies. Victoria then formulated and prescribed corrective and disciplinary recommendations to SEC management, including referring examinations to the SEC’s branches of enforcement and recovering misappropriated assets for clients. Prior to establishing NorthPoint, Victoria spent two years as a compliance officer in the Legal and Compliance Department of Fortress Investment Group. At Fortress, she was responsible for developing and enforcing compliance policies and procedures, providing compliance advice, performing periodic and annual reviews of the firm’s compliance program, staying current on regulatory and compliance matters, modifying existing policies and procedures in order for the firm to remain compliant with the relevant rules and laws, and ensuring that employees of the firm were appropriately trained in compliance-related matters. Victoria graduated magna cum laude from The College of New Jersey and is a CFA Charterholder.

Mitzie Pierre

IFM Investors
Mitzie Pierre, Chief Compliance Officer, US and Canada. Ms. Pierre joined IFM Investors in January 2017. She is responsible for IFM Investors’ compliance and regulatory obligations in North America. Prior to joining IFM Investors, Ms. Pierre was Assistant Vice President and Canada Chief Compliance Officer at Partners Group in New York. She has also held legal, compliance and business roles at FINRA, GE and E1 Asset Management. Her area of expertise is providing global firms with frameworks around regulatory compliance in the US. Ms. Pierre is a regular invited speaker at various compliance conferences around the issues of cross border marketing, Cayman fund structures and women in compliance. She received her Juris Doctorate from Howard University School of Law and her Bachelor of Science in Finance from Florida State University.

Jennifer Selliers

State of Tennessee, Department of Treasury
Jennifer Selliers is currently serving as the Director of Internal Compliance for the State of Tennessee Department of Treasury that manages over $60 billion in public assets. Previously, Jennifer held compliance and operational roles within the private sector, primarily for dual-registrants. Her areas of expertise include compliance program development, policies and procedures formation and risk and control assessments. Jennifer holds a Bachelor of Science in Business Finance from the University of Phoenix and is a Certified Securities Compliance Professional. In addition to serving as a member of the 2019 MSRB Municipal Fund Advisory Group, Jennifer enjoys public speaking, backpacking and spending time at Stonybrook with her husband and two sons.

February 18th Seminars:
Exam Priorities / Risk Management

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