The past few months have been dedicated to adjusting to the “new normal”, but it’s time to plan for what’s coming next.
With today’s ongoing regulatory reporting, significant upticks in employee personal trading, and new challenges for remote compliance teams, you need a compliance strategy that can not only endure but also thrive during unforeseen challenges.
On Tuesday, June 2nd we’re partnering with Vigilant Compliance to carve out the path to successful Compliance Program Management.
We’ll navigate how to:
Drive effective compliance with a remote workforce
Track and manage regulatory reporting
Implement best practices for compliance program management
Leverage ComplySci’s solutions for compliance program management
RSVP by filling out the form above to begin building a Compliance strategy that can thrive under challenging circumstances.
Charles Martin, MBA
Managing Director, Vigilant Compliance
Charles has experience in the design, implementation, on-going risk assessment, testing, and monitoring of Compliance Programs for Investment Advisers and Mutual Funds with respect to Firm Policies and Federal Securities Laws. Mr. Martin specializes on engagements from start-ups to established firms with Billions in AUM. Charles is responsible for interfacing with clients in areas of reporting testing results, planning, compliance issues, and potential issues. Mr. Martin serves as Chief Compliance Officer for SEC Registered Investment Advisers.
Mr. Martin has conducted and participated in compliance/due diligence reviews of Registered Investment Advisers, Fund Administrators, Custodians, Independent Research Providers, Prime Brokers, Distributors, Transfer Agents, and Anti-Money Laundering Agents. He has experience in completing various regulatory filings with the SEC, FINRA, CFTC, and NFA. He has also attended and participated in Board Meetings and Audit Committee Meetings of Mutual Funds. Mr. Martin also leads Vigilant’s Cybersecurity Practice.
Mr. Martin has experience in managing SEC examinations, including interaction with Examiners, managing information flow, and drafting responses. In Mr. Martin’s day-to-day activities he has significant interaction and communication with Senior Management.
Charles began his career at Grant Thornton, LLP, where he was an auditor in the Financial Services Industry.
Charles received his Bachelors of Science Degree in Accounting and Finance from La Salle University, Summa Cum Laude, and his Masters of Business Administration with a Concentration in Finance from Saint Joseph’s University.
Charles is a member of Beta Gamma Sigma, the International Scholastic Honor Society for Students in Business and Management.