Tag: Amy Mertz Brown

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Great Women in Compliance

Great Women in Compliance: Amy Mertz Brown on Financial and Regulatory Compliance

Welcome to the Great Women in Compliance Podcast!

In this episode, Lisa visits with Amy Mertz Brown, the SVP Chief Compliance and Privacy Officer at BECU.

Amy started her career in the US government, where she was one of the first leaders at the  Consumer Financial Protection Bureau and was formerly the Chief Compliance Officer at the US Securities and Exchange Commission.  She discusses the similarities and differences between her government and in-house regulatory experiences, and the importance of specific training and detailed work instructions in highly regulated industries.

Amy also shares how she has built her career, and what she views as important in deciding on taking on a new role. Amy and Lisa also talk about Reshma Saujani’s views about imposter syndrome, rather than looking at the reasons someone feels like an imposter and questioning the concept and how it impacts women.

Key Highlights:

  • Regulatory Compliance in the Government and in the Private Sector
  • Regulatory Compliance Through Monitoring and Training
  • Navigating Evolving Financial Regulations
  • Questioning the Imposter Syndrome

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Great Women in Compliance

Promoting Public Trust-Amy Mertz Brown, Chief Compliance Officer of the SEC

For a long time, compliance was perceived as a part of the larger legal world. Today, compliance is its own profession — a place where people work tirelessly to make the world a better place, one where doing the right thing is the standard for everyone. There are a lot of amazing and inspirational women who have helped the compliance field develop into what it is today and women who are joining this field every day. They are leading the work on cutting-edge issues and breaking barriers for women. Join Mary Shirley and Lisa Fine as they talk with women in compliance who are making a difference. In today’s episode Mary visits with Amy Mertz Brown, Chief Compliance Officer of the SEC. They discussed her role and how it feels to have the responsibility of the head of the Compliance function for one of the most significant Compliance regulators in the world, her tips for success in technology implementations and her takeaways from spearheading the creation of a compliance function in a start-up federal agency. With her extensive managerial experience in legal and compliance departments, Amy also shared various approaches for addressing difficult stakeholders inside an inherited staff and how she prizes diversity as an important goal when building out her teams.