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FMA – 2020 Securities Compliance Seminar
April 29, 2020 - May 1, 2020
Oyster Director Nikki Brinkerhoff will be speaking at the FMA 2020 Securities Compliance Seminar, April 29-May 1, 2020. This seminar focuses on current compliance topics, new rules or interpretations and regulatory initiatives for financial institutions and their affiliated broker dealers. Panel discussions are led by key market participants, and program discussions and workshops are structured for peer-to-peer learning. Open discussion is encouraged to develop solutions to key industry challenges and regulatory “hot button” priorities. Nikki will be speaking on the “Business Practices and Regulator Management” and “Data Integrity/AML” panels.
Nikki has over 20 years of expertise in Financial Services including the technology and operational controls required to achieve compliance and service delivery strategy. She has extensive experience in Retail and Institutional broker-dealers, Dual registrant BD/RIA, investment banking, bank holding companies and international registrations for U.S. firms. In addition to her senior roles with FTB Advisors and Regions Bank, she has been an active participant in industry compliance and operations associations and committees including SIFMA, BISA, IIA and ISACA. Nikki’s experience in sourcing, designing and implementing technology to achieve operational excellence, improve customer experience, enhance service delivery and address regulatory findings includes specific solutions in:
- Broker-Dealer/RIA/Trust compliance, middle and back office operations and fully virtual client onboarding
- Integration of BD/RIA operations with National Banks, Custody and Clearing vendors, Affiliate data sharing
- AML surveillance, Red Flag Rules, HIPAA, investigation (case) management, PCI and privacy operations
- Automated Regulation change management and risk reporting
- Incentive Compensation, Conflict and trading away monitoring systems
- Cybersecurity, systems change management and governance, risk and compliance