A Week in the Life of a CCO: Mid-Sized Advisers

At the Investment Adviser's March 2020 Compliance Conference, this palen of mid-sized firm CCOs explored strategies to juggle the demanding compliance role through the lens of some typical challenges faced by CCOs. The session provided insights into the scope of the role, working with the business side, navigating cost/benefit decisions, balancing multiple hats, and practical tips for compliance testing, training, and tackling long-term projects. The panel included:

Christopher Hayes, Chief Compliance Officer, Principal, 1919 Investment Counsel, LLC
Peggy E. Lebert, Managing Director and Chief Compliance Officer, Avalon Investment & Advisory
Jacob D. Smith, Principal, General Counsel and Chief Compliance Officer, Luther King Capital Management

Видео A Week in the Life of a CCO: Mid-Sized Advisers канала Investment Adviser Association