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Compliance & Risk Challenges for Small Asset Management Firms: Amy Aubin

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Konten disediakan oleh Risky Women®. Semua konten podcast termasuk episode, grafik, dan deskripsi podcast diunggah dan disediakan langsung oleh Risky Women® atau mitra platform podcast mereka. Jika Anda yakin seseorang menggunakan karya berhak cipta Anda tanpa izin, Anda dapat mengikuti proses yang diuraikan di sini https://id.player.fm/legal.

Jackie Sanz of Protiviti talks with Amy Aubin, a CCO of two firms in Canada, about compliance and risk challenges faced by compliance professionals of smaller firms in the asset management industry, where innovation and access to compliance networks are of importance in the management of risk.

Show Notes 02:13 Career journey 06:08 Risks in Smaller vs Larger Asset Management Firms 14:01 Lasting Impact of COVID-19 Pandemic 17:41 Hiring Compliance for Small Firms 22:53 Top Risks in Current Environment 27:39 Advice for future CCOs

Subscribe and More: https://www.riskywomen.org/2022/04/podcast-s5e2-compliance-risk-challenges-for-small-asset-management-firms-amy-aubin/

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75 episode

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Manage episode 326202585 series 2181464
Konten disediakan oleh Risky Women®. Semua konten podcast termasuk episode, grafik, dan deskripsi podcast diunggah dan disediakan langsung oleh Risky Women® atau mitra platform podcast mereka. Jika Anda yakin seseorang menggunakan karya berhak cipta Anda tanpa izin, Anda dapat mengikuti proses yang diuraikan di sini https://id.player.fm/legal.

Jackie Sanz of Protiviti talks with Amy Aubin, a CCO of two firms in Canada, about compliance and risk challenges faced by compliance professionals of smaller firms in the asset management industry, where innovation and access to compliance networks are of importance in the management of risk.

Show Notes 02:13 Career journey 06:08 Risks in Smaller vs Larger Asset Management Firms 14:01 Lasting Impact of COVID-19 Pandemic 17:41 Hiring Compliance for Small Firms 22:53 Top Risks in Current Environment 27:39 Advice for future CCOs

Subscribe and More: https://www.riskywomen.org/2022/04/podcast-s5e2-compliance-risk-challenges-for-small-asset-management-firms-amy-aubin/

  continue reading

75 episode

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