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NYC Bar Summer Series - Careers in Financial Services Compliance

Start/End Wednesday, July 09, 2014 06:30 PM EDT -- 08:30 PM EDT
Location Name 42 W 44th Street, New York, NY 10036
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Careers in Financial Services Compliance

City Bar Summer Series 
Wednesday, July 9, 2014, 6:30 PM - 8:30 PM

City Bar Member: $15
Non-Member: $30
Students and Alumni of Sponsoring Law Schools: Free
Students and Alumni from sponsoring law schools (includes Columbia Law School): To ensure the your free registration, please update the 'law school' section under Manage My Account prior to registering, or register using your law school email address.

View the 2014 Summer Series Brochure 
For questions or to register, please sign in or call (212) 382-4723.

Increased transparency has been a dominant trend in the financial services field for the past few years. The Dodd-Frank Act and the regulations subsequently adopted by the SEC and the CFTC have also resulted in a significant increase in the need for compliance specialists in the financial services industry. Financial services compliance professionals are tasked with ensuring compliance of regulatory requirements protecting the reputation of the company for which they work and leading their compliance and ethical initiatives. This panel will provide you with information on how to leverage your law degree and experience in the area of financial services compliance. Panelists and discussion leaders will share information about their day-to-day activities and the steps they took to become compliance specialists in the financial services field.

The first hour will be a panel presentation followed by small group discussions led by our panel members and other compliance practitioners giving you the unique opportunity to ask questions and gain significant insight into this exciting practice area.

Ronald H. Filler
New York Law School
Professor of Law, Director, Graduate Program in Financial Services Law

Michael McMaster 
BNY Mellon Capital Markets 
Managing Director and Chief Compliance Officer

Rose-Anne Richter
Morgan Stanley
Managing Director

Robert Saperstein 
Guggenheim Partners
Managing Director and Senior Regulatory Counsel

Discussion Leaders:
Debra Roth, Morgan Stanley, Executive Director;
Eshai Gorshein, Morgan Stanley, Director - Legal & Compliance;
Rakhi Bahadkar, Morgan Stanley, Director of AML Investigations

Save the Date - City Bar Summer Series
July 22nd - Careers in Family & Matrimonial Law
August 12th - Careers in Labor & Employment Law