Building a Global Compliance Program

Recorded On: 12/19/2018

Investment firms with an international footprint are beginning to integrate a global view on their overall compliance policies and programs. Join our panel of experts for an in-depth discussion about the challenges firms face, and the efficiencies they can gain, by creating and maintaining a global compliance program. What does the interaction across jurisdictions look like? How do firms coordinate across borders? Hear a panel of asset managers and financial service providers dissect the best practices and overall impact of globalizing risk and compliance programs.

Nicholas D'Angelo (Moderator)

Director, Financial Services, PwC

Stephanie Tyler

Manager, US Transfer Agent Global Risk & Control Compliance

Franklin Templeton Investor Services, LLC

Stephanie Tyler has worked at Franklin Templeton for 29 years where she leads a team focused on transfer agent regulatory compliance oversight and risk management. She is an active member on many industry committees and currently serves as the chair of the nicsa Risk and Compliance Committee. She held previous roles in project and system management focused on transfer agent technology.