Fraud Prevention in High Risk Environments

Recorded On: 02/10/2021

Want to stay ahead of the emerging trends and get key insights on both developing and enhancing your firm's fraud recognition programs? Our panel of industry thought leaders share their experiences and lead participants through a discussion around recognizing and addressing the most recent fraud threats. 

Learning Objectives

a.       Phishing and malware attacks 

b.       Cybersecurity

c.       Unemployment claims Fraud

d.       COVID Vaccine Fraud

e.       Call Center/Phony investors

Who should attend: Compliance and Risk Management professionals, operations and other fund and investor services leaders.


CPE INFORMATION: Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

CPEs Earned: 1 

CPE Field of Study: Specialized Knowledge 

Program Level: Basic 

Delivery Method: Group-Internet Based 

Advanced Preparation: None 

CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

Marty Griffin (Moderator) (Moderator)

Vice President Operations, Northeast Retirement Services

Martin Griffin brings more than 25 years of financial services operations and distribution management expertise, working with organizations across operations, product development, finance and strategy to grow their business. Mr. Griffin oversees operations at Global Trust Company / NRS. Mr. Griffin over his career has had progressive responsibilities working in operations management at global asset management firms and global banks.

Prior to joining NRS, Mr. Griffin held a number of leadership positions in operations, and business development. Most recently he was Vice President at State Street Bank & Trust with the Institutional Transfer Agent working with varied alternative investment managers. Prior to State Street he was Vice President at Amundi Pioneer Investments, initially overseeing Sales Operations and then focused on Business Development on the national level focusing on strategic partnerships. Earlier in his career Mr. Griffin’s roles included Director of Broker Dealer Services at BNY Mellon Asset Servicing, and varied operational roles at MFS Investment Management.

Tony D'Elia

Senior Director

SS&C Technologies

Tony D’Elia is a Senior Director in SS&C’s Global Investor and Distribution Solutions’ Regulatory Compliance Group and is currently leading Fraud Risk Management efforts. Tony joined SS&C in July 2020.

Previous to joining SS&C, Tony was a Vice President and Director of Compliance within AllianceBernstein L.P.'s (“AB”) Legal and Compliance Department in New York, N.Y. His responsibilities included overseeing and ensuring that AllianceBernstein Investor Services, Inc. (“ABIS”), transfer agent for the AB family of mutual funds, and AB’s Managed Account/Wrap Fee Program comply with applicable regulations. Tony was also the Anti-Money Laundering Compliance Officer of AB’s domestic open-end mutual funds, AllianceBernstein Investments, Inc., the Funds principal underwriter, and ABIS. Tony also served as the Funds’ and Managed Accounts Privacy Officer. Amongst other compliance functions, Tony was involved in the firm’s e- mail surveillance program, led the firm’s Financial Crimes Control Oversight Sub-Committee participated on Information Security Risk Oversight Sub-Committee.

Ryan Sullivan, CFP, CRPC, ChFC

Vice President, Applied Insights

Hartford Funds


Ryan Sullivan is a vice president of applied insights for Hartford Funds. He leads communication workshops around the country and speaks on a variety of financial and practice management topics, with a focus on retirement research from the MIT AgeLab. To date, Ryan has provided insights to audiences in 46 states and Puerto Rico, as well as led hundreds of webinars.

Ryan originally joined Hartford Funds in 1996, holding various roles of increasing responsibility. He left the company in 2012 as a vice president of advanced markets. Prior to rejoining Hartford Funds, Ryan founded a business to coach professionals on public speaking and effective communication. He was later hired by his largest client, financial-planning software company Envestnet MoneyGuide, where he was vice president and head of investor education.

In addition to his role at Hartford Funds, Ryan volunteers his time and communication expertise to help others. Since 2012, he’s led communication workshops at UNC Charlotte’s Center for Leadership and Community Engagement. He’s also a certified facilitator for TimeSlipsTM, a program through which he leads interactive storytelling sessions for people living with Alzheimer’s and dementia. In addition, he leads communication workshops through Charlotte Family Housing to help empower working families experiencing homelessness to achieve self-sufficiency. Ryan also serves on Hartford Funds’ Diversity, Equity and Inclusion advisory council.

Ryan is a registered representative of Hartford Funds Distributors, LLC, and is FINRA Series 7 and 63 registered. He holds his Life, Health, and Variable Products licenses and has earned the Certified Financial Planner (CFP®), Chartered Life Underwriter (CLU®), Chartered Financial Consultant (ChFC®), Chartered Retirement Planning Counselor (CRPC®), and Chartered Mutual Fund Counselor (CMFC®) designations. He’s also a Fellow of LOMA’s® Life Management Institute. 

Originally from Hartford, Connecticut, Ryan attended Bucknell University, where he earned a bachelor’s degree in business administration. He currently lives in Charlotte, North Carolina, with his wife, Katie.

Simon Marchand, CFE

Chief Fraud Prevention Officer, Nuance

Simon Marchand is the chief fraud prevention officer of Nuance’s security and biometrics business unit.

Simon has extensive expertise in fraud prevention, detection and management - as well as in authentication and identity - in both the banking and telecom industries, with more than 10 years of experience in the field. Prior to Nuance, Simon held key fraud prevention positions at Montreal-based Laurentian Bank, at Bell Canada, and at Québec’s Order of Chartered Administrators, where he managed its professional inspection program.

As chief fraud prevention officer, he works closely with Nuance clients to design biometric-based fraud prevention and authentication strategies that disrupt criminals while reducing effort and friction for legitimate customers. He regularly shares his expertise in various conferences and with associations around the world and he speaks on the risks fraud and the ethical use of biometrics in the media.

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Webinar
02/10/2021 at 2:00 PM (EST)  |  Recorded On: 02/10/2021
02/10/2021 at 2:00 PM (EST)  |  Recorded On: 02/10/2021
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