Robert Baker is the co-lead of ACA’s Mock Examination Team. Before joining ACA in October 2024, Baker had various leadership roles in the Examination and Enforcement Divisions at the SEC, including as a founding member of the Enforcement Division’s Asset Management Unit (AMU). In AMU, he was the architect of several sweeps and risk-based initiatives, and he co-chaired the SEC Boston office’s Examination and Enforcement referral committee. Baker earned an undergraduate degree from the University of Minnesota and a law degree from Harvard Law School. During his time with the SEC, Robert also earned a graduate Certificate in Advanced Financial Planning from Bentley University and became a CFA Charterholder. Baker will speak at the Boston Compliance Workshop.
Gail C. Bernstein is general counsel and head of public policy at the Investment Adviser Association, the leading association advancing the interests of fiduciary investment adviser firms. Gail is responsible for legal matters affecting the IAA and for the development and execution of the IAA’s policy and advocacy on behalf of its members. She is also responsible for working with IAA members on legal, regulatory, and compliance issues affecting investment advisers. Gail joined the IAA in 2017 from the law firm of WilmerHale in Washington, DC, where she had been both a special counsel and a partner in the Securities Department. She earned her law degree from Harvard Law School and clerked for the Honorable Douglas P. Woodlock of the U.S. District Court for the District of Massachusetts. Bernstein will speak at the Virtual Compliance Workshop.
Jeff Blumberg is a partner at Faegre Drinker Biddle & Reath LLP. He is an investment management lawyer who advises clients on regulatory, corporate governance, business, and structural matters. He counsels registered and unregistered money managers on operations and other key business matters, including mergers and acquisitions, regulatory investigations and examinations, compliance policies and procedures, contracts, advertising and securities valuation. Prior to practicing law, Blumberg spent seven years working in the financial services industry with one of the largest independent financial services firms in the Chicagoland area, where he was a registered principal for the firm’s broker-dealer office and acted as the internal compliance officer for the firm. Blumberg will speak at the Chicago Compliance Workshop.
Monique S. Botkin is associate general counsel of the IAA. Prior to joining the IAA in 2004, she was an associate in the financial services groups at Dechert LLP in Newport Beach, California, and Alston & Bird LLP in Washington, DC. While in private practice, Botkin represented investment advisers, registered investment companies, private funds, and broker-dealers in corporate, securities and investment management matters. Botkin also served as an attorney in the SEC’s Division of Investment Management disclosure review office from 2013 to 2014. She earned her B.A. in government and politics from the University of Maryland at College Park and her J.D., cum laude, from Southwestern University School of Law in Los Angeles, where she was an editor of the Law Review. Botkin will speak at the Los Angeles Compliance Workshop.
Sarah Buescher is special counsel of the IAA. Before joining the IAA, Buescher served as a branch chief in the Investment Adviser Regulation Office in the SEC’s Division of Investment Management. She also worked in the SEC’s Office of the General Counsel and started her legal career in the SEC’s Division of Investment Management. She also previously worked at Vanguard, first in the Legal Department as associate counsel and senior counsel, and later in the Compliance Department as manager of international compliance. She earned her B.S. in Communication Studies from Northwestern University and her J.D. from the University of Notre Dame Law School.Buescher will speak at the Atlanta Compliance Workshop.
Maria Chambers, IACCP®, is chief compliance officer of Klingenstein Fields Advisors, where she oversees and administers the compliance program, including developing, implementing, and enforcing policies and procedures based on an assessment of applicable industry rules and regulations. Chambers began her career in the Corporate Legal Department at Cravath, Swaine & Moore. She then joined Morgan Stanley Investment Management Inc., where she oversaw the compliance program for the firm’s ultra-high-net-worth custom separately managed account and wrap account platforms. Most recently, she was a vice president and senior compliance officer at Guggenheim Partners Investment Management Inc. She graduated cum laude from Fordham University with a B.A. in Economics, a minor in Philosophy, and a certificate in Business Administration. Chambers will speak at the New York Compliance Workshop.
Charu A. Chandrasekhar is a litigation partner in Debevoise & Plimpton LLP’s New York office and a member of the firm’s White Collar & Regulatory Defense and Data Strategy & Security Groups. She has substantial experience in counseling clients on the SEC’s cybersecurity regulations, recordkeeping requirements, and artificial intelligence examinations and enforcement. Previously, Chandrasekhar served as an assistant regional director in the SEC’s Division of Enforcement and as the founding chief of the Division’s Retail Strategy Task Force. She also served in the Division of Enforcement’s Market Abuse Unit and clerked for the Honorable Sonia Sotomayor when she sat on the U.S. Court of Appeals for the Second Circuit. Chandrasekhar will speak at the Virtual Compliance Workshop.
Tobin Cochran, IACCP®, is a managing director at ACA. He joined ACA in September 2022 when ACA acquired Focus 1 Associates. At ACA, Cochran develops, maintains, and oversees client and other strategic business relationships. He also ensures the provision of outstanding client services directly and indirectly as he supervises a team of compliance consultants. He has 15 years of experience with regulatory compliance consulting and, before that, 14 years of experience providing GIPS® compliance consulting and verification services. At Focus 1, Cochran served as managing member and president. Before Focus 1, he was president of Ashland Partners and Company LLP. Tobin earned his B.A. degree in Business Administration with a minor in Accounting and Economics from Southern Oregon University. Cochran will speak at the Atlanta Compliance Workshop.
Brian Crowell is a partner in Stradley Ronon Stevens & Young’s Philadelphia office. A member of the firm’s nationally recognized investment management practice, Brian is well-versed in counseling registered investment companies — including mutual funds, exchange-traded funds (ETFs) and closed-end funds — independent trustees and investment advisers on a wide range of matters. He assists clients with the development and launch of new funds, ongoing regulatory and registration obligations, and issues arising under federal and state securities laws. Prior to joining Stradley Ronon, Crowell worked in the financial services industry. He received his J.D. from Villanova University School of Law and his B.S. from Villanova University. Crowell will speak at the Virtual Compliance Workshop
Carlo di Florio is the president of ACA Group, where he leads global oversight of key businesses, client relationships, thought leadership, and strategic engagement with regulators, legislators, media, capital allocators, alliance partners, industry associations, and professional associations. Previously, di Florio worked for more than 25 years in executive leadership roles at PricewaterhouseCoopers (PwC), the SEC Office of Compliance Inspections and Examinations, and FINRA. He also serves on the Boards of several industry and professional associations and as an adjunct professor at Columbia University, where he teaches Strategic Risk Management in the Master of Science program in Enterprise Risk Management. di Florio will speak at the Virtual Compliance Workshop.
Lorraine Echavarria is partner-in-charge of WilmerHale’s Los Angeles office and vice chair of the firm’s Securities and Financial Services Department. She represents public companies, corporate officers, financial institutions, hedge funds and other financial market participants facing government investigations and enforcement actions. Echavarria conducts internal investigations for boards and audit committees and provides advice and guidance to businesses on corporate governance and compliance issues. She previously spent more than 15 years at the SEC, where she most recently served as associate regional director and head of the enforcement program for the Los Angeles Regional Office. Echavarria will speak at the Los Angeles Compliance Workshop.
Cindy Eson is an associate director for the Division of Examinations in the SEC’s Los Angeles Regional Office,where she leads a team of approximately 60 staff members, including attorney-advisers, accountants, and securities compliance examiners who conduct examinations of registrants in Southern California, Arizona, Nevada, Hawaii, and Guam. She joined the Commission in 1995, and previously served as a staff attorney, branch chief, and senior investigative counsel in the Division of Enforcement. Before joining the Commission, she was a litigation associate with Jenner & Block. Eson received her J.D., magna cum laude, from the University of Miami School of Law and her B.A. from the University of Miami School of Communication. She is a Certified Regulatory and Compliance Professional. Eson will speak at the Los Angeles Compliance Workshop.
Laura Ferrell is a partner in the Corporate Department of Latham & Watkins and a member of the firm’s Investment Funds Practice and Financial Institutions Industry Group. She serves as lead counsel to clients across the full lifecycle of investment management, from advising first-time sponsors in connection with RIA registration and fund formation to counselling long-established founders on succession planning. Ferrell has particular expertise advising asset managers in connection with bet-the-company SEC examinations and enforcement inquiries, RIA registration and compliance matters, asset management M&A transactions, IPOs of asset managers, the formation of investment funds, and ESG matters. She holds a B.A. from Dartmouth College and a J.D. from the University of Michigan Law School. Ferrell will speak at the Chicago Compliance Workshop.
Adia Finn serves as vice president, senior manager, compliance and risk management at GW&K Investment Management, LLC. She is responsible for a broad range of areas under GW&K’s Compliance Program including assessing regulatory developments, disclosure requirements and other supervisory obligations and risk considerations across the firm. Finn is also a member of various operating committees at GW&K and has previously co-chaired its ESG Committee and GW&K’s Women in Finance Committee. Prior to joining GW&K, she was a compliance manager at Affiliated Mangers Group, Inc. (AMG) and a manager at Deloitte & Touche. She received a B.A. in Government/Legal Studies & Romance Languages from Bowdoin College. Finn will speak at the Chicago Compliance Workshop.
Kenneth French is associate director for the Division of Examinations for the SEC’s Atlanta Regional Office, where leads a staff that conducts examinations of investment advisers, investment companies, broker-dealers, transfer agents, and municipal advisors across Alabama, Georgia, North Carolina, South Carolina, and Tennessee. Before joining the Commission, French served as vice president and senior legal counsel at T. Rowe Price Associates, Inc. Prior to his time at T. Rowe Price, he was a compliance manager at Invesco Advisers, Inc. He earned his B.S. in Business Administration from Winston-Salem State University, an MBA from Gardner-Webb University, and J.D. from John Marshall Law School. French will speak at the Atlanta Compliance Workshop.
Marshall Gandy is the National Investment Adviser/Investment Company Examination Program Director in the SEC’s Division of Examinations, which oversees over 600 attorneys, accountants, and examiners responsible for the examinations of SEC-registered investment advisers and investment companies. Gandy also continues to serve as the associate director for examinations in the SEC’s Fort Worth Regional Office where, since 2012, he has led a staff of forty-five accountants, examiners, attorneys, and support personnel responsible for examining broker-dealers, investment companies, investment advisers, hedge fund managers, private equity firms, municipal advisers, and transfer agents in Texas, Oklahoma, and Arkansas. He obtained his J.D. from Southern Methodist University. Gandy will speak at the Virtual Compliance Workshop.
Louis Gracia is associate director of the Investment Adviser – Investment Company Examination Program in the SEC’s Chicago Regional Office. He has been in this role for five years and with the SEC for over 31 years, during which time he has led and supervised numerous examinations of investment advisory firms and mutual fund complexes. Gracia has spoken at several previous SEC Compliance Outreach events, NASAA conferences, NSCP conferences, IAA workshops and National Examination Program training courses. He has also represented the SEC at numerous staff recruitment and investor outreach events. Gracia holds a B.S. in Accounting from the University of Illinois at Chicago, as well as a CPA license in the state of Illinois and the CFE designation. Gracia will speak at the Chicago Compliance Workshop.
Laura L. Grossman is associate general counsel of the IAA. She has more than 20 years of experience as an investment management attorney. Prior to joining the IAA in 2012, she was in private practice for over 10 years in the New York office of Fulbright & Jaworski L.L.P. (now Norton Rose Fulbright), where she advised registered investment adviser, mutual fund and private fund clients on matters arising under the Investment Advisers Act, the Investment Company Act and other federal securities laws, the Commodity Exchange Act and associated regulations, and a wide range of compliance issues. Grossman received her B.A., summa cum laude, from Rutgers College, and she received her law degree from the University of Pennsylvania. Grossman will speak at the Austin Compliance Workshop.
Michael Gunst is assistant regional director in the Investment Adviser/Investment Company Examinations Division of the SEC’s Fort Worth Regional Office. Gunst joined the Commission in 2003 in the Enforcement Division working primarily on regulatory matters including market timing, performance fees, business development companies, and other investment adviser and investment company cases. Prior to the SEC, he spent 15 years at the Texas State Securities Board, primarily involved in examination and enforcement matters relating to regulated entities. He received his B.B.A. in Finance from St. Mary University and J.D. from St. Mary’s Law School in San Antonio, Texas. Gunst will speak at the Austin Compliance Workshop.
Jessica Huelbig is a partner in ACA Global’s US Regulatory consulting practice and deputy head of private funds. Her primary responsibilities include managing a team of compliance consultants and oversight and coordination of client relationships and projects, including mock SEC inspections, gap analyses, and compliance program reviews, assisting firms with SEC registration and ERA filings, assisting firms with SEC examinations, and developing customized policies and procedures for investment advisers, including large diversified financial firms, hedge fund managers, and private equity firms. She holds a B.S. in Intenational Business from the University of Scranton. Huelbig will speak at the New York Compliance Workshop.
Krista Infante, IACCP®, is chief compliance officer of Yacktman Asset Management LP. Prior to joining Yacktman in 2015, Infante was a compliance officer for JP Morgan and JP Morgan Chase in Columbus, Ohio. In addition, she has a variety of state finance experience including investment operations, purchasing, and contract compliance for the State Treasurer of Ohio. She holds a B.S. from Cedarville University in Cedarville, Ohio. Infante will speak at the Austin Compliance Workshop.
Jay Johnson is managing director and deputy chief counsel in the Technology, Contracts and Brand Protection Legal Group at Charles Schwab and oversees the legal team handling data privacy and cybersecurity. He also is an adjunct professor at the SMU Dedman School of Law, where he developed and teaches the school’s flagship class on data privacy and cybersecurity law. Previously, he was a partner in Jones Day’s Cybersecurity, Privacy, and Data Protection practice group and an assistant U.S. attorney in the Eastern District of Texas focused on cybercrime, IP theft, and electronic evidence. He earned a B.S. in Mechanical Engineering from Kansas State University, an MBA from MIT Sloan School of Management, and a J.D. from University of Iowa College of Law. Johnson will speak at the Chicago and Boston Compliance Workshops.
Kevin M. Kelcourse is associate regional director for the Division of Examinations in the SEC’s Boston Regional Office. He leads a staff that conducts inspections and examinations of investment advisers, investment companies, hedge funds, private equity funds, broker-dealers, municipal advisers, transfer agents, and other securities firms in New England. He is also currently serving as acting co-regional director for the office. Kelcourse previously worked for the Division of Enforcement, including as assistant director in the Division’s Asset Management Unit. Prior to the SEC, he was a federal prosecutor with the Justice Department and an associate with O’Melveny & Myers. He is a graduate of Georgetown University Law Center and Georgetown University. Kelcourse will speak at the Boston Compliance Workshop.
Matt Knihtila is chief compliance officer for Capital Bank & Trust Company, Capital International, Inc., and Capital Group Private Client Services, Inc., and deputy chief compliance officer for Capital Research and Management Company, all part of Capital Group. He has 20 years of investment industry experience and has been with Capital Group for 16 years. He is a CFA Charterholder and has earned an MBA from the University of Minnesota’s Carlson School of Management and a bachelor’s degree in business administration from the University of Wisconsin-Eau Claire. Knihtila will speak at the Los Angeles Compliance Workshop.
Michael B. Koffler, a partner at Eversheds Sutherland (US) LLP, guides investment advisers, broker-dealers, and investment funds in their compliance with federal/state securities laws and regulations and SRO rules. He advises clients on the full spectrum of business operations, including advertising, portfolio management, trading, internal controls, compliance programs, mergers and acquisitions, and other management issues. He also counsels other financial institutions—banks and insurance companies—on securities issues associated with the management and distribution of investment products. Koffler previously worked at the SEC in the Division of Investment Management. He graduated from Binghamton University with a B.A. in Law and Society and received his J.D. from the University of Pennsylvania Law School. Koffler will speak at the Atlanta Compliance Workshop.
Mac Laban is a partner in the Investment Funds Regulatory Solutions Group of Kirkland & Ellis LLP. His practice focuses on the regulation of private investment funds and investment advisers. Laban provides counsel on a wide variety of matters, including the formation, offering and operation of private equity, venture capital, real estate, credit, GP stakes and secondaries funds, as well as on complex fund restructurings and continuation vehicles. He also guides fund sponsors through the SEC examination process and regularly advises emerging managers, counseling them through initial fund launches, SEC registration and compliance, and strategy expansion. Laban also advises on financial services M&A and strategic liquidity transactions for fund sponsors. Laban will speak at the Austin Compliance Workshop.
Sanjay Lamba is associate general counsel at the IAA. Prior to joining the IAA, Lamba worked at SEC headquarters for 10 years, beginning his service in the rulemaking office of the Division of Investment Management before transferring to the Office of Chief Counsel (Legal Branch) in the Office of Compliance Inspections and Examinations in 2010. Prior to the SEC, he was in private practice advising registered investment adviser and mutual fund clients on a wide range of matters arising under the federal securities laws. He received his B.S. degree in Finance from George Mason University and his law degree from Boston University. Lamba will speak at the New York Compliance Workshop.
A. Kristina Littman is a partner in Willkie Farr & Gallagher LLP’s Litigation Department, co-chair of the Willkie Digital Works practice, and a member of the Securities Litigation & Enforcement Practice Group. Littman represents corporations, registrants, and individuals in complex disputes, including regulatory enforcement and white-collar defense. She also counsels clients on cryptocurrency and digital assets regulation and cybersecurity matters, including investigations and enforcement actions by financial regulators. She earned a B.S. from Florida State University and an MBA and J.D. from Rutgers University. Littman will speak at the Virtual Compliance Workshop.
Denise Lollis is chief compliance officer and a principal of Greenwood Capital, where she oversees the firm’s compliance and operational functions. She works across the organization to foster a culture of fiduciary responsibility and regulatory alignment, ensuring client service remains at the center of the firm’s strategic goals. Lollis joined Greenwood Capital in 2013 with oversight for operations and was named chief compliance officer in 2016. She has more than 30 years of compliance experience in financial services, holds both B.A. and B.S. degrees from Lander University, and earned her MBA from the University of South Carolina. She is a Certified Planning Fiduciary Advisor and holds the NRS Investment Adviser Core Compliance Certificate. Lollis will speak at the Atlanta Compliance Workshop.
Edward R. McNicholas is a partner and global leader of Ropes & Gray LLP’s data, privacy & cybersecurity practice, focused on clients facing complex IT, constitutional and privacy issues. Recognized by the National Law Journal as a “Cybersecurity & Data Privacy Trailblazer,” he is the lead editor and co-author of “Cybersecurity: A Practical Guide to the Law of Cyber Risk.” McNicholas previously served as an associate counsel to President Clinton and as a clerk on the U.S. Court of Appeals for the Fourth Circuit. He received his J.D. from Harvard Law School, where he was an editor of the Harvard Law Review, and his A.B. from Princeton University. McNicholas will speak at the Boston Compliance Workshop.
Meg McVicker is senior principal consultant at ACA Group, bringing deep expertise in regulatory compliance within the investment advisory sector. McVicker has a strong track record of helping top-tier firms manage and mitigate regulatory risk. Prior to ACA, she was an associate director at Optima Partners LLC, where she provided senior oversight on regulatory compliance for clients advising private funds. Earlier in her career, McVicker served as a compliance associate at FORT, L.P., a quantitative hedge fund. She began her compliance journey at Clearlake Capital Group, L.P., where she held the role of compliance associate. She earned a B.A. in American Studies from Wingate University. McVicker will speak at the Austin Compliance Workshop.
Aaron Pinnick joined ACA in June 2021 as a research consultant and now serves as a senior manager of thought leadership in ACA’s Risk Practice. His research primarily focuses on cybersecurity, information security, and regulatory issues for investment advisers and the financial services industry. Pinnick has over thirteen years of experience leading research teams and creating products that serve global heads of compliance and ethics programs, as well as government affairs programs. His past roles include leading research teams at Ballast Research and serving as a research director in Gartner’s Compliance and Ethics program. Pinnick will speak at the Chicago Compliance Workshop.
Jennifer Porter is a partner in Willkie’s Asset Management Department. Based in the firm’s Washington, D.C. office, she provides advice to asset managers, including registered investment advisers, mutual funds, ETFs, and private funds, on a variety of legal, regulatory and compliance matters. Porter is a former assistant director in the Division of Investment Management at the SEC and also served in a variety of other roles at the SEC throughout her career, including as a senior policy advisor for two of the Division of Investment Management’s directors and a senior advisor for Chair Mary Jo White. She holds a B.A. from Middlebury College and a J.D. from University of Maryland School of Law. Porter will speak at the Virtual Compliance Workshop.
Kerry K. Rider is a partner at ACA and serves as the head of ACA’s Wealth Management practice in the U.S. Regulatory advisory group. She counsels her own clients and leads the team of ACA wealth management consultants in the U.S. Regulatory practice group. She has over thirty years’ experience in the securities industry, working in both investment adviser and broker/dealer compliance. Prior to ACA, Rider had her own independent compliance consulting firm for 19 years, serving registered investment advisers and broker/dealers nationwide. She also previously served as CCO for large national broker/dealers and registered investment adviser firms. She is a graduate of UCLA, where she earned a B.A. in History, and she holds the Series 7 and 24 securities licenses. Rider will speak at the Los Angeles Compliance Workshop.
Christine Ayako Schleppegrell, a partner at Morgan, Lewis & Bockius LLP, counsels asset managers on legal, regulatory, and compliance matters, focusing on advisers to private funds (private equity, hedge, venture capital, infrastructure, real estate, credit) and separately managed accounts. She spent several years in private practice and more recently served at the SEC, including as senior counsel in the Investment Adviser Regulation Office, Private Funds Branch, where she advised on policy matters and counseled staff of the Divisions of Enforcement and Examinations. Schleppegrell earned her J.D. from the University of Washington School of Law and her B.A. from Vassar College and Oxford University. Schleppegrell will speak at the Boston Compliance Workshop.
Robert S. H. Shapiro is a partner in Dechert’s financial services group. He previously served as assistant chief counsel in the SEC Division of Investment Management. His expertise encompasses a wide range of regulatory issues, including investment adviser marketing, digital assets, robo-advisers, anti-money laundering, and various advisory and compliance matters. Prior to his role at the SEC, Shapiro served as vice president and corporate counsel at a major insurance company, and his earlier roles at the SEC included branch chief positions. He began his legal career as an associate in the asset management practice of a major law firm. He received his B.A. from the University of Illinois at Urbana-Champaign, summa cum laude, and his JD from the University of Virginia School of Law. Shapiro will speak at the New York Compliance Workshop.
Tracy M. Soehle is associate general counsel at the IAA. Previously, she was managing director and senior counsel at Affiliated Managers Group, Inc. where she was responsible for overseeing AMG’s regulatory affairs and legal and compliance support of the their global operations and its Affiliates. Prior to joining AMG, Tracy was a senior compliance manager at State Street Global Advisors; regulatory compliance manager at Wellington Management Company LLP; and an attorney at the law firm Dechert LLP. She received a B.S. from Boston College and a J.D. from Tulane University Law School. Soehle will speak at the Boston and Chicago Compliance Workshops.
Erika Subieta is director and corporate counsel at Charles Schwab & Co, providing counsel to the Advisor Services Business. Prior to joining Schwab, she served as vice president at NCS Regulatory Compliance (now part of ACA Group). She provides strategic and regulatory advice pursuant to the Securities Exchange Act of 1934, Investment Advisers Act of 1940, FINRA Rules, and other relevant regulations. Subieta has significant experience in investment adviser and broker-dealer formation matters, business transitions and acquisitions, FINRA membership proceedings, and financial analysis and reporting for securities firms. She has served as a guest lecturer both in the collegiate academic environment and at private sector compliance events. Subieta will speak at the Austin Compliance Workshop.
Arjuman Sultana, an assistant director at New York Regional Office Investment Adviser/Investment Company Examination Program, has worked at the SEC since 2001. During her tenure at the SEC, she has led and supervised complex examinations of investment advisers, including both private equity and hedge fund firms, as well as investment companies to ensure compliance with specific federal securities laws such as the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Sultana earned her B.S. in Business Management from Fairleigh Dickinson University. Sultana will speak at the New York Compliance Workshop.
Andrew Walsh is counsel at WilmerHale focused on advising clients in the investment management industry. Before joining WilmerHale, he was an attorney in the Private Funds Unit of the Division of Examinations at the SEC, where he led and participated in examinations of investment advisers to private funds and provided technical assistance and support to examination staff on issues presenting difficult private fund questions. Before the SEC, he served as in-house counsel to the investment management division of a large bank and in the U.S. Marine Corps. He earned a B.A. in History from Boston College and a J.D. from Suffolk University Law School. Walsh will speak at the Los Angeles Compliance Workshop.
Carolyn Welshhans is a partner at Morgan Lewis in Washington, D.C. She leverages her extensive government experience to advise and defend public companies, startups, financial institutions, and their executives in investigations by the SEC, FINRA, and other financial regulators and in internal investigations. Prior to joining Morgan Lewis, Welshhans held a number of senior leadership roles at the SEC, including associate director of the Division f Enforcement, acting data officer for the division, and acting chief of the Crypto Assets and Cyber Unit. She graduated cum laude from Boston College Law School and magna cum laude from the College of William and Mary. Welshhans will speak at the New York Compliance Workshop.
Brian Woldow is the SVP, chief compliance officer for Betterment. Prior to joining Betterment, Woldow was a managing director and compliance and operational risk executive for Bank of America with a focus on its wealth management businesses. Prior to joining the Compliance Department, he was an assistant general counsel in the Bank of America Legal Department supporting its wealth management businesses. Before Bank of America, Woldow was in private practice and served as an attorney in the FINRA Office of General Counsel. He holds a B.A. in Economics from Lafayette College, a J.D. from American University, Washington College of Law, and an LLM in Banking and Financial Law from Boston University. Woldow will speak at the New York Compliance Workshop.