When:
September 12, 2017 @ 9:00 am – 12:00 pm
2017-09-12T09:00:00+01:00
2017-09-12T12:00:00+01:00
Where:
Hilton Charlemont
1 Charlemont Pl
Saint Kevin's, Dublin
Ireland
Cost:
50.00
Contact:
Caroline Hollick-Ward
01 7790200

This is the 4th in the series of Building Blocks for Effective Compliance Workshop. In this workshop, the speakers, Karen Nolan and Elaine Staveley will draw on their joint knowledge and experiences to guide and inform delegates on how to build and implement a Compliance Plan. Based on their experiences they will provide examples of the good versus the bad, and explain how best to deal with difficulties and issues which arise in implementation. They will speak on the expectations of the various stakeholders including the Central Bank of Ireland in respect of risk-based Compliance Monitoring.

In the second part of the workshop Karen and Elaine will facilitate an interactive session using a Case Study as its foundation.

The series is specifically aimed at those new to the compliance profession, those newly qualified from the PDC programme, and those who are looking to move into the area of compliance as a career.

Title: Building Blocks for Effective Compliance Workshop Series– Compliance Plan and Compliance Monitoring (4/6)
Date: Tuesday, 12th September 2017
Speaker: Karen Nolan, Head of Designated Persons Services, Bridge Consulting
Elaine Staveley, Head of Compliance & Risk at BCWM
Venue: Hilton Charlemont, Dublin 2
Time: 9.00 am – 12.00 pm (Registration 8.30 am)
CPD: 3 Hrs LCOI, FCOI (Compliance), FCOI (Ethics), 
Professional Banker, Chartered Banker, Certified Bank Director
Fee: €50.00 (Member); €75.00 (Non-Member)

 
Topics discussed in this seminar will include:

    • Components of a Compliance Plan.
    • Implementing the plan – good and bad practices.
    • How to effectively adopt a risk based compliance monitoring approach.

Karen Nolan, Head of Designated Persons Services, Bridge Consulting
Karen is an ACOI member.

Karen is an accountant with over twenty years-experience of fund administration, primarily in the fund accounting and financial reporting areas. Karen has previously worked with International Fund Managers (Ireland) Limited (the former Irish fund administration business of Baring Asset Management, now part of Northern Trust) and Bank of Ireland Securities Services Limited, and has also worked as an independent consultant for a number of other financial services companies in Dublin.

Karen joined Bridge as a consultant in January 2010.

Karen holds a Degree in Accounting & Finance from Dublin City University, the Professional Diploma in Applied Alternative Investments from the Institute of Banking, is a Fellow of the Association of Chartered Certified Accountants and holds the Licentiate of the Association of Compliance Officers in Ireland (LCOI). 

 

Elaine Staveley, Head of Compliance & Risk at BCWM
Elaine is an ACOI member and member of the ACOI Prudential Regulation & Governance Working Group.

Elaine is Head of Compliance & Risk at BCWM, a MiFID regulated wealth management company. At BCWM, Elaine is a member of the senior management team and is responsible for implementing the compliance & risk framework.

Elaine has 17 years’ experience in the investment management industry including several years working in the United States early in her career. Elaine has extensive experience working with the MiFID regulations, carrying out compliance training and developing policies to ensure compliance with regulations and best practice.

Elaine is a CFA Charter holder and holds a first class honours Master’s degree in Compliance from University College Dublin.

Elaine is a Licentiate of the Association of Compliance Officers in Ireland (LCOI).