Webinar: January 23, 2025 | 1PM ET
Recent enforcement actions suggest wealth firms are facing mounting pressure to balance regulatory compliance with exceptional client service. Financial professionals must also go further than ever to prioritize clients’ best interests. Five years into the best interest journey, many have adopted policies, but exam priorities indicate an implementation challenge.
With solutions for digital oversight, seamless record-keeping, and real-time regulatory updates, firms can simplify compliance, mitigate risks, and focus on what matters most: serving their clients.
Join us on January 23 at 1 PM ET for expert insights on:
- Reducing compliance risk by staying ahead of the regulatory curve
- Long-term benefits of adopting tech-driven compliance solutions
- Boosting adviser efficiency with regulatory software
- Simplifying compliance to enhance your advisory practice
Ideal for compliance officers, legal and risk professionals, financial professionals, and operations managers ready to modernize compliance. Don’t miss it!
Note: This webinar qualifies for 1 IACCP CE credit. Please visit the COMPLY website for more information about the IACCP program.
Meet Your Speakers
Jennifer Selliers, Director, Senior Consultant, Renaissance Regulatory Services, Inc
Jennifer Selliers has over 20 years of successful experience building and administering compliance programs of diverse financial initiatives within small, medium, and large organizations. Her areas of expertise include compliance program development, policies and procedures formation and risk and control assessments.
Prior to joining the Renaissance Regulatory Services, Jennifer spearheaded the compliance initiatives for the State of Tennessee’s Department of Treasury that managed over sixty billion dollars in public assets.
Ed Wegener, Managing Director, Oyster Consulting LLC
Ed Wegener is an innovative compliance, risk management and supervisory controls expert with deep understanding of Federal Securities Laws and the rules of self-regulatory organizations, as well as technology optimization and risk mitigation. Prior to joining Oyster, Ed held several posts in FINRA, most recently as Senior VP and Midwest Regional Director. While there, he was responsible for the Region’s risk assessment, examination and investigation programs. Ed was a member of the team that developed FINRA’s risk-based examination program and he developed and managed FINRA’s first Digital Asset and Cybersecurity examination programs.
Parham Nasseri, President, InvestorCOM
Parham Nasseri has spent his career translating complex regulatory requirements into technology solutions that improve investor and advisor outcomes. He has over 15 years of regulatory and wealth management experience, including senior roles in regulatory analytics, digital transformation, and investment analytics.
Parham currently serves as Vice President, Product & Regulatory Strategy at InvestorCOM, a leading software solutions provider for the financial services industry. He serves on several advisory boards including Ontario Securities Commission’s Investor Advisory Panel, CFA Societies’ Canadian Advocacy Council, The Canadian RegTech Association, and Junior Achievements of Central Ontario. He is also the host of the Wealth Compliance Leaders series.