Into the Chair

Rafael Capa on Mastering Risk Management for Success in Compliance

Thu, 15 Feb 2024 06:00:00 -0000

Welcome to the latest edition to the Compliance Podcast Network: Into the Chair: Tales from Chief Compliance Officers details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to successfully navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Into the Chair: Tales from Chief Compliance Officers is a Comply podcast hosted by Tom Fox and is a production of the Compliance Podcast Network. In this episode, I visit with Rafael Capa who has a background in risk management and is in compliance.

Rafael Capa is a highly experienced risk management professional, with a career spanning over two decades in various sectors including market risk, counterparty credit risk, liquidity risk, and operational risk. His perspective on overall risk management strategy is shaped by his extensive experience and is centered on the belief that it should be proactive, efficient, and tailored to the specific needs of the business lines. Capa emphasizes the importance of identifying, measuring, monitoring, reporting, and remediating risks in compliance, and encourages firms to be proactive in assessing and implementing policies and procedures, rather than waiting for regulations to be put in place. He also advocates for the use of data analytics and artificial intelligence in compliance to enhance effectiveness and efficiency. Furthermore, Capa, who holds a certificate in climate risk, underscores the emerging significance of this field in the compliance role and the necessity for compliance to keep pace with risk management in addressing this issue.

Key Highlights

· Proactive Risk Management Strategy Implementation

· Building a Proactive Compliance Program with Data Analytics and AI

· Enhancing Compliance through Customized Risk Assessment

Resources

Rafael Capa on LinkedIn

Haitong International Securities Group

Comply

Connect with Tom Fox

Mario Chilin on Winning Compliance Officer of The Year

Thu, 11 Jan 2024 06:00:00 -0000

Welcome to the latest edition of the Compliance Podcast Network: Into the Chair: Tales from Chief Compliance Officers, which details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to successfully navigate the compliance waters of any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Into the Chair: Tales from Chief Compliance Officers is a Comply podcast hosted by Tom Fox and is a production of the Compliance Podcast Network. In this episode, I visit with Mario Chilin, the Chief Compliance Officer at EP Wealth Advisors and winner of this year’s ComplyConnect Compliance Officer of the Year Award.

Mario Chilin was recently recognized as Compliance Officer of the Year at the 2023 Comply Connect conference. Mario’s perspective on this accolade is one of humility and gratitude. He views the award as a testament to his years of dedication and hard work in the compliance industry, but also acknowledges the invaluable support and collaboration of his team and the wider compliance community. His background in soccer has instilled in him key leadership principles that he applies to his role, and he sees the award as a representation of the collective efforts of all compliance professionals. Join Tom Fox and Mario Chilin as they delve deeper into this topic on the next episode of the Into the Chair podcast.

Key Highlights:

What the award means to his compliance team.
A commitment to excellence.
Why it all starts at the top.

Resources:

Mario Chilin on LinkedIn

EP Wealth Advisors

Comply

ComplyConnect announces Compliance Officer of the Year

Connect with Tom Fox

Kevin Cremi: From Finance to CCO Success

Wed, 01 Nov 2023 05:00:00 -0000

Welcome to the latest edition of the Compliance Podcast Network: Into the Chair: Tales from Chief Compliance Officers, which details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Into the Chair: Tales from Chief Compliance Officers is a Comply podcast hosted by Tom Fox and is a production of the Compliance Podcast Network. In this episode, I visit with Kevin Cremi, Chief Compliance Officer/Operations Analyst at RTD Financial.

Kevin Cremi is a seasoned professional with a robust background in finance and management information systems, currently serving as the chief compliance officer at RTD Financial. Kevin's perspective on the importance of compliance, continuous learning, and technology in business is shaped by his diverse experiences, including his role as a CCO and deep understanding of cybersecurity. He views compliance as a critical aspect of business that should not be overlooked and believes in the power of continuous learning and adaptation in the ever-evolving landscape of compliance and technology. Kevin also sees a strong connection between compliance and cybersecurity, envisioning a future where compliance continues to play a significant role as rules and regulations change. Join Tom Fox and Kevin Cremi on this episode of the Into the Chair podcast to delve deeper into these insights.

Key Highlights:

Kevin Cremi's Journey to CCO Success
The Evolving Role of CCO in Compliance
The Future of Compliance: AI and Cybersecurity

Resources

Kevin Cremi on LinkedIn

Comply

Connect with Tom Fox

Anh Lam on Navigating Compliance Challenges in a Changing Landscape

Wed, 25 Oct 2023 05:00:00 -0000

Welcome to the latest edition of the Compliance Podcast Network: Into the Chair: Tales from Chief Compliance Officers, which details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Into the Chair: Tales from Chief Compliance Officers is a Comply podcast hosted by Tom Fox and is a production of the Compliance Podcast Network. In this episode, I visit with Anh Lam, Senior Vice President and Chief Compliance Officer at Sandy Spring Bank.

Anh Lam, a seasoned professional in compliance management, brings a unique perspective shaped by her personal and professional experiences. Born and raised in Vietnam, Anh’s interest in wealth management was sparked by her father’s experience with misleading investments in a country with limited regulations. Now serving as the Chief Compliance Officer for Sandy Spring Bank’s wealth divisions, Anh believes in the enduring importance of compliance but also sees a future where technology and artificial intelligence play a significant role in making compliance more efficient and effective. She envisions a future where each firm has its internal AI system integrated with different platforms to adapt to changing regulations and anticipates a global standardization of compliance regulations, akin to the GDPR for privacy regulations. Join Tom Fox and Anh Lam as they delve deeper into these topics on the next episode of the Into the Chair podcast.

Key Highlights:

Protecting Investors’ Money through Compliance Expertise
Navigating Compliance Challenges in a Changing Landscape
The Rise of AI in Compliance

Resources:

Anh Lam on LinkedIn

Comply

Connect with Tom Fox:

Discovering a Passion for Compliance - Mario Chilin's Journey into the CCO Chair

Wed, 27 Sep 2023 05:00:00 -0000

Welcome to the latest edition to the Compliance Podcast Network: Into the Chair: Tales from Chief Compliance Officers details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to successfully navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Into the Chair: Tales from Chief Compliance Officers is a Comply podcast hosted by Tom Fox and is a production of the Compliance Podcast Network. In this episode, I visit with Mario Chilin the Chief Compliance Officer at EP Wealth Advisors.

Mario Chilin is a seasoned professional in the compliance field, boasting a robust background in the financial industry, with degrees from California State University and Pennsylvania State University, and a paralegal certificate from Cerritos College. His perspective on his career in compliance is overwhelmingly positive, having discovered a passion for the field while working at the Bank of Tokyo Mitsubishi. Despite the challenges he faces as a Chief Compliance Officer, such as limited resources and the growing threat of cybersecurity, Chilin remains dedicated to his profession. His experiences, from working in operations during the 2008 financial crisis to his current role at EP Wealth Advisors, have only fueled his belief that others who delve into compliance will find the same passion and excitement. Join Tom Fox and Mario Chilin as they delve deeper into this topic on the next episode of the Into the Chair podcast.

Key Highlights

· Unexpected Paths to a Successful Compliance Career

· Navigating the Regulatory Side of Finance

· Maximizing Resources and Cybersecurity: Compliance Officer Challenges

Resources

Mario Chilin on LinkedIn

EP Wealth Advisors

Comply

Connect with Tom Fox

The Journey of Maria D’Avanzo

Wed, 06 Sep 2023 12:39:00 -0000

Welcome to the latest edition of the Compliance Podcast Network: Into the Chair: Tales from Chief Compliance Officers, which details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Into the Chair: Tales from Chief Compliance Officers is a COMPLY podcast hosted by Tom Fox and is a production of the Compliance Podcast Network. In this inaugural episode, I visit with Maria D’Avanzo.

Maria D'Avanzo is a seasoned professional in the legal and compliance field, with a career that has spanned from litigation to estate work to compliance. Maria's perspective on adaptability and continuous learning in legal and compliance roles is rooted in her career trajectory, which has seen her successfully transition from being a litigator to opening her law practice and becoming a compliance officer. She believes the key to success in these roles is the willingness to learn new skills and take on new challenges, even outside one's comfort zone.

Maria also underscores the importance of transferable skills such as analytical and research abilities, critical thinking, and the capacity for advocacy and persuasion, which she honed as a trial lawyer and have been instrumental in her compliance career. Join Tom Fox and Maria D'Avanzo in this episode of the Into the Chair podcast as they delve deeper into the importance of adaptability and continuous learning in legal and compliance roles.

Key Highlights

· Maria's transformation into a compliance officer

· Navigating the Legal Field: Learning and Advocacy

· Advocacy skills and the value of compliance

· Navigating Compliance Challenges in Regulated and Non-Regulated Corporate Sectors

Resources

Maria D’Avanzo on LinkedIn

Tom Fox