SESSION 1: Vendor Management SESSION 2: Code of Ethics

Registration Type	Price for 2 sessions
NSCP Members	$100
Non-Members	$200

Michelle Canela

Intech Investment Management LLC
Michelle Canela, MSL, CSCP® is Director, Compliance at Intech Investment Management LLC. She is a solutions-focused compliance professional with over 20 years of industry experience overseeing daily compliance, ensuring that company activities comply with relevant regulatory requirements, as well as applicable policies and procedures. Prior to joining Intech in 2002, Ms. Canela served as an Investment Consultant at Ryan Beck & Co., currently known as Stifel Nicolaus. She received her B.A. in Finance from the University of South Florida, College of Business Administration and her M.S. in Law from California Southern University.

Mario Chilin

EP Wealth Advisors
As the Chief Compliance Officer of a leading independent registered investment advisory firm, Mario oversees and is responsible for all aspects of the firm’s Compliance and Risk Program. Mario is a dedicated and passionate member of the greater Compliance and Risk Management Community. He is an active member, chairs, or can be found speaking at several local and national compliance industry events, round tables, working groups, and/or committees.

Lilly Farahnakian

GCM Grosvenor
Lilly Farahnakian, J.D., Managing Director, Global Chief Compliance Officer, Operations Committee Member Ms. Farahnakian serves as GCM Grosvenor's Global Chief Compliance Officer and is a member of the firm’s Operations Committee. She leads the firm's Compliance Team and is responsible for ensuring that the firm maintains compliance with various federal, state, and international regulations. Prior to joining GCM Grosvenor, she was a Managing Director and Assistant General Counsel at JPMorgan Chase. During this time, she was also Head of Regulatory and Compliance functions for Research, Americas Investment Banking, Americas Control Room, and Disclosure of Interest. She has also worked as an Executive Director in Legal at Morgan Stanley, where she advised its Global Research Department on legal and compliance issues. Prior to that, she practiced as an in-house litigator and Assistant General Counsel at JPMorgan Chase, covering sales and trading, investment banking, research and retail. She began her legal career as a litigation associate at Willkie Farr & Gallagher LLP. Ms. Farahnakian graduated with distinction, Phi Beta Kappa, from the University of North Carolina at Chapel Hill with a Bachelor of Arts in Political Science and French. She was also a Morehead-Cain Scholar. She received her Juris Doctor from Yale University. Currently, Ms. Farahnakian is a member of the Illinois Bar, the New York Bar. She also serves on the Adler Planetarium Board of Trustees, the Yale Chicago Board and the Yale Women Chicago Board, and the Facing History Advisory Board. Recently, she was honored by the ADL at their 25th Women of Achievement award.

Allison Fraser

Compliance Solutions Strategies
With over 25 years of investment advisory compliance experience, Allison provides compliance services to investment advisers, registered investment companies and private investment funds. The services she provides includes conducting annual compliance program reviews and testing, developing risk assessments, conducting due diligence reviews of sub-advisers and service providers, and preparing for SEC examinations. She also assists clients with drafting policies and procedures, conducting annual and focused compliance and ethics training, and preparing regulatory filings. On behalf of Compliance Strategies Solutions (CSS; formerly Ascendant Compliance Management), Allison has served as the Chief Compliance Officer for a family of alternative funds registered under the Investment Company Act of 1940. Prior to joining CSS, Allison served as a Senior Vice President of Compliance at the asset management subsidiary one of the largest and oldest banking institutions in the United States. In this capacity, she managed and administered the compliance due diligence program for investment adviser’s multi-manager solutions and outsourced Chief Investment Officer programs, which included over 300 sub-advisers consisting of investment advisers, private funds and registered investment companies. Allison conducted hundreds of compliance and operational due diligence reviews during her tenure. Additionally, Allison served as the Chief Compliance Officer of two registered funds of hedge funds advised by the asset management subsidiary as well as a member of the funds’ Pricing and Disclosure Committees. Earlier in her career, Allison served as the Compliance Director for the asset management subsidiary of a multinational auto manufacturer, where she assisted with the administration of the compliance program for this registered investment adviser and its affiliated private fund adviser. Allison earned a B.S. from the University of Vermont and a Legal Assistant Certificate from The George Washington University. Allison has also obtained the designation as a Certified Fraud Examiner (CFE). The CFE credential denotes proven expertise in fraud prevention, detection and deterrence.

Linda Shirkey

Bates Group
Linda Shirkey is a Managing Director of the Bates Compliance team based in Houston, TX. As President and founder of The Advisor’s Resource, she has provided compliance expertise to Registered Investment Advisors for over 20 years. A former institutional stock broker covering money managers and major corporations, Ms. Shirkey was with Charles Schwab & Co., Inc., for ten years. Prior to her position with Charles Schwab, Ms. Shirkey worked in banking and legal services in product development, marketing and corporate finance. A magna cum laude graduate of Case Western Reserve University in Cleveland, Ohio, Ms. Shirkey currently serves on the Board of the National Society of Compliance Professionals (“NSCP”) and chairs their Strategic Planning Committee. She also holds a leadership role with the Houston Compliance Roundtable and is a member of the DFW Compliance Roundtable. She is often invited to speak as an expert in applying current compliance requirements effectively and efficiently, and she has led workshops and seminars for the NSCP Regional and National Meetings, IA Watch, and the Investment Advisor Association

Christine Warner

Monticello Financial Group, LLC
Christine Warner, CSCP®, PMP® is currently the Chief Compliance Officer at Monticello Financial Group, a new limited purpose broker-dealer based in Texas. She is trained in the ISO® 9000 quality system and is a certified Project Management Professional® and has used the methods, metrics, and management techniques to augment compliance programs and integrate compliance functions and requirements into day-to-day operations. Starting at a regional bank, Christine enhanced her compliance skills at Manning & Napier Advisors, an investment management company in upstate New York, provided field compliance for Mutual of New York (MONY) and AXA during their integration and returned to the investment side of regional banking as Chief Compliance Officer at Tompkins Financial Advisors. For the last several years Christine has been Chief Compliance Officer in the Independent Broker Dealer and Independent Registered Investment Advisor channel.

SESSION 1: Vendor Management
SESSION 2: Code of Ethics

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