COMPLY Summit 2019 was a premier conference focused on regulatory technology (RegTech) and compliance, organized by PerformLine. Held on May 14-15, 2019, at Tribeca360 in New York City, the event brought together a diverse group of professionals, including regulators, compliance officers, risk management experts, legal professionals, and innovators from around the world.
The summit covered a wide range of topics pertinent to the evolving compliance landscape. Key sessions addressed the integration of compliance technology, the development of a strong compliance culture, and strategies for managing emerging risks. Notably, a panel of Chief Compliance Officers (CCOs) shared insights on effective compliance practices, emphasizing the importance of understanding employee challenges, leveraging technology, and fostering a culture of integrity within organizations.
In addition to informative sessions, COMPLY Summit 2019 provided ample networking opportunities for attendees to connect with peers, industry leaders, and regulatory officials. The event featured an expo hall showcasing the latest RegTech solutions and services. Prominent speakers included Troy Paredes, former SEC Commissioner and founder of Paredes Strategies LLC, who shared his expertise on financial regulation and compliance strategies.
The summit was designed for compliance professionals, legal experts, risk managers, and executives responsible for regulatory adherence. Attendees gained valuable insights into best practices, technological advancements, and collaborative approaches to navigating the complex regulatory environment.
Speakers(7)
Aparna Menon
VP Digital Acquisitions at Barclays
As Vice President of Digital Acquisitions for Barclays, Aparna is responsible for developing acquisition strategies across credit cards, online savings, and personal loans. Her focus spans across technology, process engineering, product management, and marketing. Omni-channel marketing across a connected MarTech suite that offers seamless integration of first-, second-, and third-party data is the core of marketing initiatives driven by Barclays. Aparna has an MBA from Columbia Business School, New York.
Jo Ann Barefoot
CEO at Barefoot Innovation Group
Jo Ann Barefoot is CEO of Barefoot Innovation Group, Cofounder of Hummingbird Regtech, Senior Advisor to the Omidyar Network, and host of the podcast show Barefoot Innovation. A noted advocate of 'regulation innovation,' Jo Ann is Senior Fellow Emerita at the Harvard Kennedy School Center for Business & Government and is writing a book on financial innovation and regulation. She has been Deputy Comptroller of the Currency, partner at KPMG, Co-Chairman of Treliant Risk Advisors and staff member at the U.S. Senate Banking Committee.
Ken Richard
EVP/ General Counsel at Ytel
Ken brings vast software and technology licensing, consulting knowledge and skill to the Ytel team. Ken has represented several public and private Tier 1 software companies in his 30-year legal career. He provides a customer service approach to both practical and legal challenges for all stakeholders with whom he works. Ken is also published nationally and recognized as a subject-matter expert on software licensing. Further, Ken is one of the architects in the evolving industry SMS compliance initiatives and often works closely with government attorneys and private sector attorneys on matters related to governmental and carrier compliance.
Nirvana Farhadi
Global Head of Financial Services, RegTech Risk and Regulatory Compliance at Hitachi Vantara
As the Global Head of RegTech for Hitachi, Nirvana is the business owner and strategic leader for Hitachi’s Financial Services RegTech business. A thought leader and pioneer in the Financial Services RegTech sector, she is a global compliance, operations and risk expert across multiple FS sector Regs and Jurisdictions.
Rhonda McGill
Director at Quicken Loans
Rhonda McGill is the Director of Compliance on the Legal Team for Quicken Loans Inc., based in Detroit, Michigan. Rhonda joined Quicken Loans in 2012 working in various areas of compliance until she became the Director of Licensing in 2017. In 2018, she expanded that role and now leads Legal compliance Operations, which includes Licensing, Fair Lending, Anti-Money Laundering and Marketing Compliance. Quicken Loans offers an internet based platform delivering mortgages in all 50-states.
Smitha Mortis
Chief Compliance Officer at Klarna
Smitha Mortis is currently the Chief Compliance Officer for Klarna Inc., a U.S. subsidiary of a Swedish payments company and bank. As an early member of the Klarna U.S. team, Smitha developed and currently manages the company’s Compliance Management System. Prior to joining Klarna, Smitha was Director, Legal Counsel at PayPal and Bill Me Later, Inc. Smitha currently resides in the Washington, DC metro area with her husband and two children.
Troy Paredes
Founder at Paredes Strategies LLC
Troy A. Paredes is the founder of Paredes Strategies LLC. From 2008-2013, Paredes was an SEC Commissioner. Paredes advises on financial regulation, compliance, risk management, corporate governance, and regulatory strategy. Paredes was a professor of law at Washington University in St. Louis, and currently is a Distinguished Scholar in Residence at NYU School of Law. Paredes co-hosts a podcast on fintech called 'Appetite for Disruption.' Paredes serves on the board of advisors and has been a member of the board of directors at several companies.
Event Details
- Date
- May 14-15, 2019
- 2 days
- Location
- 🇺🇸 New York, United States
- Tribeca360
- Audience
- Compliance professionals, legal experts, risk managers, executives responsible for regulatory adherence