Tag: Comply

Into the Chair - Tales from Chief Compliance Officers

Into the Chair, Tales from Chief Compliance Officers: Rafael Capa on Mastering Risk Management for Success in Compliance

Post author By admin
Post date February 15, 2024
No Comments on Into the Chair, Tales from Chief Compliance Officers: Rafael Capa on Mastering Risk Management for Success in Compliance

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 of 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 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 the overall risk management strategy is shaped by his extensive experience. It 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 using 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

Tags CCO, compliance, Comply, Rafael Capa, Risk Management

Into the Chair - Tales from Chief Compliance Officers

Into the Chair, Tales from Chief Compliance Officers: Mario Chilin on Winning Compliance Officer of The Year

Post author By admin
Post date January 11, 2024
No Comments on Into the Chair, Tales from Chief Compliance Officers: Mario Chilin on Winning Compliance Officer of The Year

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 of 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. The Compliance Podcast Network’s Into the Chair: Tales from Chief Compliance Officers is a Comply podcast Tom Fox hosts. 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. He 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 Into the Chair podcast episode.

Key Highlights:

What does the award mean 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

Tags Comply, Mario Chilin

FCPA Compliance Report

FCPA Compliance Report – John Gebauer and John Van Der Wal on Implementing Comprehensive Strategies for Regulatory Rule Compliance

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom Fox welcomes John Gebauer, Chief Regulatory Officer at COMPLY, and John Van Der Wal, Senior Director, Compliance Advisory at COMPLY.

John Gebauer and John Van Der Wal are seasoned professionals in the financial industry, each with over three decades of experience and a focus on regulatory changes and compliance challenges. Gebauer believes that there is a need for stricter controls and requirements in the ESG space. He emphasizes the importance of firms having the necessary documents and procedures to back up their claims of being ESG advisors. Van Der Wal shares a similar perspective. He stresses the need for more controls and requirements in ESG advising, the importance of vendor due diligence, and the potential of AI and machine learning technologies in preventing inappropriate activity. Both Gebauer and Van Der Wal highlight the importance of staying up-to-date with changing rules and regulations in the financial industry. Join Tom Fox, John Gebauer, and John Van Der Wal on this episode of the FCPA Compliance Report to delve deeper into these insights.

Key Highlight:

Compliance Consulting Expert: John Gebauer
Private Fund Reform Rule: Addressing Industry Concerns and Improving Practices
Comprehensive Approach for Rule Implementation
Cybersecurity Measures to Prevent Insider Trading
The Impact of Cybersecurity Regulations on Finance

Resources:

John Gebauer on LinkedIn

Tom Fox

Tags AI, Comply, cybersecurity, ESG, John Gebauer, John Van Der Wal, regulated industries

Into the Chair - Tales from Chief Compliance Officers

Into the Chair, Tales from Chief Compliance Officers: Discovering a Passion for Compliance – Mario Chilin’s Journey into the CCO Chair

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.