May 25th Seminars: Vendor Management / Code of Ethics

Registration Type	Price
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.

Hank Sanchez, Jr.

Bates Group LLC
Henry “Hank” Sanchez, Jr. is a Bates Group Managing Director and a seasoned compliance and legal professional with over 35 years of securities industry experience working with a wide range of companies, from small financial firms to national clients. He has extensive expertise in risk management, investment advising, financial legal issues, risk assessment, compliance and due diligence. Before joining Bates, Mr. Sanchez served as Managing Director of a compliance consulting firm, similar to his role at Bates Group, he was engaged to act as contract Chief Compliance Officer, analyze compliance programs, assess product due diligence, develop a Conflicts of Interest program, testify as an expert witness, act as Independent Consultant on regulatory matters, and consult on a wide variety of issues. Prior to that, he was with LPL Financial Corporation, where he held compliance leadership roles as Vice President of Surveillance/Governance, Sr. Vice President/Chief Compliance Officer. For more than 10 years, Mr. Sanchez was a regulator with both the SEC and FINRA. While with the SEC, he was assigned to the SEC’s Division of Market Regulation, working in the Office of Trading Practices, and the Office of Inspections, Options Branch. At FINRA, he served as regional counsel in FINRA Regulation’s Enforcement Department, and as Counsel to Internal Audit. He is also a FINRA Arbitrator. Mr. Sanchez received his B.A. in Criminal Justice from Richard Stockton State College, his J.D. from Rutgers University School of Law - Newark, and his LLM with a Securities Regulation concentration from Georgetown University Law Center. He has also received a Compliance and Regulatory Professional Certification from the NASD/Wharton Institute. Mr. Sanchez is a frequent speaker at securities industry conferences and is also an accomplished writer, whose work has appeared in securities industry-related publications throughout his career.

Christine Warner

Monticello Financial Group, LLC

May 25th Seminars:
Vendor Management / Code of Ethics

Event description

Fees & Registration

Continuing Education:

Agenda

Speakers

Join the NSCP Mailing List