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Compliance & Risk Challenges for Small Asset Management Firms: Amy Aubin
Manage episode 326202585 series 2181464
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/
75 episode
Manage episode 326202585 series 2181464
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/
75 episode
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