The session will provide a hands-on perspective on effectively conducting branch inspections during COVID-19 and beyond
RegEd, the leading provider of compliance technology solutions for the financial services industry, has announced an upcoming webinar that will be co-presented with Essential Edge Compliance Outsourcing Services, a regulatory and compliance/supervision consultancy. The webinar will be held on Thursday December 3 at 12:00PM EST. Attendees will include senior compliance, risk and audit professionals from the nation’s leading financial services firms.
Maximizing Value from Your Branch Office Inspections During Covid-19 and Beyond: A Hands-on Perspective
Branch office oversight has been significantly impacted by the COVID-19 pandemic, requiring firms to be more adaptable than ever in how they manage this critical process. As regulators continue to expect firms to administer effective programs for monitoring branches and supervised individuals, firms have had to significantly evolve their approach to keep up with changing times. This presentation will discuss best practices in conducting branch office inspections in an environment that is constantly changing due to the pandemic and compliance technology.
The webinar will feature Sander J. Ressler, Managing Director of Essential Edge Compliance Outsourcing Services, LLC, who will provide an overview of current trends in the industry, ongoing impacts related to the pandemic, and a forward-looking view as to how firms are likely to continue to advance their programs. Essential Edge currently conducts more than 650 branch inspections annually for over a dozen broker-dealers. Sander draws on more than 30 years of frontline experience with broker-dealers and registered investment advisers, and will share practical insight on what his clients are experiencing, observations from the field, and best practices to streamline the management of branch exams.
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients.
About Essential Edge Compliance Outsourcing Services, LLC
Essential Edge Compliance Outsourcing Services, LLC (“Essential Edge”) is a strategic consultancy specializing in compliance and regulatory affairs. Headquartered in South Florida, and utilizing 10+ seasoned compliance supervision professionals across the country, Essential Edge delivers outsourced branch inspections to Offices of Supervisory Jurisdiction (OSJs) and independent financial advisor practices affiliated with broker-dealers throughout the country. Essential Edge’s service offerings are designed to rapidly identify and resolve compliance issues in branch office sales and operations for independent broker-dealers before they escalate into expensive and time-consuming issues. For more information, please visit www.eeoutsourcing.com.