2026 Compliance Conference

Gail C. Bernstein general counsel and head of public policy for the IAA. She joined the IAA in 2017 from the law firm of WilmerHale in Washington, DC, where she had been a special counsel and before that a partner in the Securities Department. While in private practice, Bernstein counseled clients on all aspects of financial and securities regulation. Bernstein earned her B.A. from the Hebrew University of Jerusalem and her law degree from Harvard Law School in 1988. After law school, Bernstein clerked for the Honorable Douglas P. Woodlock of the U.S. District Court for the District of Massachusetts.

Sarah A. Bessin is senior associate general counsel, U.S. regulatory affairs and investment management, at Franklin Templeton. Previously, she was deputy general counsel at the Investment Company Institute. Bessin has also served in multiple roles at the SEC, including as assistant director of the Office of Investment Adviser Regulation in the Division of Investment Management; assistant chief counsel in the Division of Enforcement; and special counsel in the Division of Investment Management’s Office of Chief Counsel. She also spent more than five years in private practice at Shearman & Sterling LLP (now A&O Shearman), advising financial services clients on a wide variety of regulatory, transactional, and compliance matters. Bessin received her B.A. from the University of Michigan and her J.D., cum laude, from the University of Michigan Law School. 

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.

Justin L. Browder is a partner at Simpson Thacher & Bartlett LLP, where he counsels investment advisers and funds on all aspects of the federal securities laws. He has substantial experience advising private fund sponsors on a variety of operational, transactional, and adversarial matters and representing asset managers and funds in examination and enforcement proceedings. Additionally, Browder advises on mergers, acquisitions, and spin-outs of asset management businesses and is a recognized practitioner in the area of digital assets. Previously, he served as assistant general counsel at an alternative asset management firm in New York. He is recognized as a leading lawyer in Chambers USA, Chambers Global and Chambers FinTech Legal: Blockchain & Cryptocurrencies. 

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. 

Johanna Collins-Wood is the deputy general counsel at Bitwise Asset Management and the chief compliance officer of Bitwise Investment Manager, an SEC-registered investment adviser. Prior to Bitwise, she advised innovative financial technology companies at the law firms Wilson Sonsini Goodrich and Rosati and Troutman Pepper Hamilton Sanders. A graduate of Duke Law School and Duke University, and a member of Phi Beta Kappa, Collins-Wood began her career in the London office of Davis Polk & Wardwell, where she advised entrepreneurial companies on their initial public offerings in Europe and the U.S. She also serves on several non-profit boards focused on education and the arts. 

Dean Conway, shareholder of Carlton Fields, is a seasoned regulatory and trial lawyer with more than two decades of experience in complex securities enforcement, litigation, and regulatory compliance. While serving as an assistant chief litigation counsel at the SEC, Conway first-chaired all aspects of high-profile enforcement actions that encompassed the entire scope of the Division of Enforcement’s program, including public company disclosure, accounting and internal controls violations, investment advisers, broker-dealers, insider trading, and cybersecurity. He also advised on investigative strategy, charging decisions, and litigation risk, including providing pre-filing guidance to the SEC’s Asset Management Unit. Conway additionally advised on enforcement matters and regulatory policy while serving as counsel to an SEC commissioner.

Sara P. Crovitz is a partner at Stradley Ronon Stevens & Young, LLP. As a former deputy chief counsel and associate director of the SEC’s Division of Investment Management, Crovitz has over 25 years of experience providing guidance under the Investment Company Act of 1940 and Investment Advisers Act of 1940 to the asset management industry and to other domestic and foreign regulators. As co-chair of Stradley’s nationally recognized investment management practice, Crovitz provides counsel on independent trustees, registered funds and investment advisers. She also counsels funds and advisers in connection with SEC compliance examinations, SEC rulemaking comment letters, and seeking SEC exemptive, interpretive and no-action guidance. Crovitz earned her B.A. from the University of Chicago and her J.D. from the University of Chicago Law School.

Joshua Deringer is a partner at Faegre Drinker Biddle & Reath LLP. He has developed a strong client following for his skill in expanding liquid investment options and implementing innovative structures for private and alternative investment funds. Deringer‘s forward-thinking counsel has made him a sought-after attorney for national and international financial services companies involved in all aspects of the investment management industry. He has a reputation as one of the top attorneys and innovators in the rapidly growing nontraded closed-end fund space. Deringer also currently serves on the management board of the firm. He earned a B.A. from University of Pennsylvania and a J.D. from Fordham University School of Law.

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. 

Jennifer Eller is a principal in Groom Law Group’s Fiduciary and Retirement Services practice. She has been in practice for over 20 years advising financial institutions on retirement products and services and working closely with large corporate and public plan sponsors on ERISA compliance. Eller regularly attends fiduciary committee meetings and conducts fiduciary training. She holds a B.A., magna cum laude, from Avila College and a J.D., cum laude, from Georgetown University Law Center. 

Steven Farmer is the chief compliance officer for Confluence Investment Management LLC, responsible for managing the compliance program, which includes monitoring firm-wide compliance with internal policies as well as regulatory requirements. Before joining Confluence, he served as the chief compliance officer for Northern Trust Investments, Inc., 50 South Capital Advisors, LLC and various registered mutual funds. Previously, Farmer served as the chief compliance officer for Mesirow Advanced Strategies, Inc., as well as senior compliance positions for Mesirow Financial International in the U.K. and Hong Kong. He received a B.S. degree in Finance from Northern Illinois University and an MBA from DePaul University. 

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.

Michelle L. Jacko, CSCP, is the managing partner and CEO of Jacko Law Group, PC, which offers securities, corporate, and regulatory compliance counsel and litigation services to investment advisers, broker-dealers, hedge and private funds, and financial industry professionals. She is also founder and CEO of Core Compliance & Legal Services, Inc. Jacko specializes in investment adviser, broker-dealer and fund regulatory compliance matters, mergers and acquisitions, regulatory examinations, internal control development, and operational risk management. Her practice focuses on complex matters involving regulatory and business risks, senior and retail client issues, cybersecurity and AI matters, Regulation S-P, policies and procedures, and regulatory examinations and enforcement matters. She received her J.D. from St. Mary’s University School of Law and B.A. from the University of San Diego. 

Caroline Jankowski is a partner and the chief compliance officer for Operose Advisors. She joined the firm in 2019 and more than 20 years of experience in the industry. She is responsible for administering the firm’s compliance program, as well as overseeing the day-to-day business management of the firm. Prior to joining Operose, she was a partner and project lead with Vista360, LLC where she was responsible for assisting investment advisers and funds with SEC compliance and strategic matters and leading the firm’s research and consulting process efforts. Before Vista360, she was chief financial officer of Ziegler Capital Management and its proprietary fund family. Jankowski holds a B.A. in Economics and Spanish from the University of Wisconsin – Madison.

Casey J. Jennings is a partner in Seward & Kissel’s Investment Management Group and is located in Seward & Kissel’s Washington D.C. office. Jennings is a banking regulatory attorney specializing in advising non-bank financial institutions (such as investment managers, funds, broker-dealers, and fintechs) on banking and securities law issues, with areas of expertise in bank deposit funding, Bank Holding Company Act (“BHCA”) and Volcker Rule, data privacy and cybersecurity/incident response, FinTech regulation and licensing/blockchain, anti-money laundering, consumer financial protection and direct foreign investment (CFIUS).   

Katie Klaben is a parter at Sidley Austin, where she advises a wide range of clients – including private fund advisers, public companies, executives, family offices, and broker-dealers – on securities regulatory, compliance, enforcement, and transactional matters. Katie works extensively with clients on their disclosure and reporting obligations under Sections 13 and 16, beneficial ownership determinations, and preventing and defending against short-swing profit liability.  With a deep understanding of SEC rules and regulations governing beneficial ownership and an ability to translate complex regulatory requirements into clear, actionable guidance, Katie was recognized in Best Lawyers: Ones to Watch® in America for Securities Regulation (2026).

Jennifer L. Klass is a partner in K&L Gates’ New York office and a member of the firm’s Asset Management and Investment Funds Practice. She is an experienced financial services regulatory lawyer with particular focus on investment adviser regulation and the convergence of investment advisory and brokerage services. Klass counsels clients on a wide range of federal and state securities matters, including fiduciary duty and conflicts of interest, disclosure and internal controls, advertising and marketing, SEC examination and enforcement actions, and transactions involving regulated entities. She is a leading practitioner in digital investment advice and the use of FinTech in the asset management industry and frequently assists clients in developing and offering innovative new products and services and the consideration of emerging regulatory issues. Klass earned a B.A. from Lehigh University, magna cum laude, and a J.D. from Widener University School of Law.

Matthew Kolesky is president and chief compliance officer for Arbor Capital Management, Inc. In 2020, Kolesky and the team at Arbor Capital launched Arbor Digital, an SMA offering focused on digital assets. As CCO for Arbor Capital, he sits at the intersection of compliance, traditional finance, and digital assets. Kolesky first interacted with Bitcoin by mining on his home computer in 2010, and later explored Ethereum after it launched.

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.

Josh Levit is chief compliance officer for ISSM and Private Markets, Americas at Invesco. In this role, he is responsible for overseeing the compliance function for the North American Direct Real Estate team and strategies managed through Invesco Senior Secured Management, Inc., Invesco Private Capital, Inc. and WL Ross & Co. LLC. Prior to joining the Invesco, he served as assistant general counsel at VEREIT, Inc.; assistant general counsel, vice president at AR Capital, LLC/RCS Advisory Services, LLC.; and as counsel II at the Pennsylvania Securities Commission in its Division of Corporate Finance. Levit earned a B.A in History from Duke University and a J.D. from the Dickinson School of Law. 

Ted McCutcheon is founder of Securities Law Counsel, PLLC, where he counsels private fund advisers and wealth managers on Advisers Act and regulatory compliance matters. Before founding his law firm, Securities Law Counsel, McCutcheon served as Senior Trial Counsel at the SEC, and in-house as general counsel and chief compliance officer for three RIAs, and a CPO and CTA. He was an adjunct professor of SEC Enforcement Law at Florida International University College of Law, has lectured at the University of Miami on fiduciary duty, regulatory compliance, and other topics, and regularly speaks and writes about adviser law and compliance. A licensed attorney in New York and Florida, McCutcheon graduated from Brown University and Cornell Law School.

Christopher Mulligan is a partner in Weil’s Private Funds practice, based in Washington, D.C. He represents a wide range of asset managers, as well as middle-market and newly-formed advisers, on various regulatory issues. Mulligan acts as outside regulatory counsel, advising on SEC examinations and investigations, marketing rule compliance, fund formation, mock examinations, SEC registration, Form ADV, Form PF, code of ethics, custody issues, LPA compliance, annual reviews and strategic advice. Before joining Weil in 2024, he spent over a decade at the SEC, most recently as investment adviser/private funds senior advisor and co-coordinator of the SEC’s Private Funds Specialized Working Group. He earned his J.D. from Georgetown University. 

William A. Nelson is associate general counsel and director of public policy at the IAA. Previously, he was assistant general counsel and public policy counsel at CFP Board and chief compliance officer for Mercer Advisors. He has also held roles as an attorney with both the U.S. Departments of Justice and Veterans Affairs. Nelson has served as an adjunct professor at the University of Denver Sturm College of Law and George Washington University Law School. He received his undergraduate degree from the University of Tulsa, his J.D. with Honors from the University of Tulsa College of Law, and his LL.M. from the George Washington University Law School.

Naseem Nixon is chief compliance officer, vice president and senior counsel at Capital Research and Management Company, where she provides counsel and leadership on a range of areas including compliance oversight of advisory activities and operations affecting retail and large institutional clients, U.S. regulatory policy and engagement, and mutual fund governance. Prior to joining Capital Group, Nixon served as a senior policy advisor to the director of the Division of Investment Management at the SEC. Before serving at the SEC, she practiced law as an associate with Eversheds Sutherland. Nixon received her J.D. from Brigham Young University J. Reuben Clark Law School and her bachelor’s degree in Public Policy Studies from Duke University. 

Erik Olsen is chief compliance officer at Vident Asset Management. Prior to joining Vident, he served as a managing director at ACA Group as the head of registered investment company compliance. He also served was a compliance director at Legg Mason, where he headed the firm’s Global Compliance Examinations team, and as a securities compliance examiner in the SEC’s Office of Compliance Inspections and Examinations (Investment Adviser/Investment Company). Before the SEC, Olsen worked in the Mutual Funds Legal and Accounting Departments of Deutsche Asset Management. He earned his B.B.A. degree in Finance from Loyola College (now Loyola University Maryland).

Ray Palacios is the director of compliance at MONTAG Wealth Management. Passionate about serving and protecting the investing public, he served as an associate principal compliance examiner and an examination manager at FINRA for 5 years and then as a securities compliance examiner at the SEC for over 9 years. In addition to his years of regulatory experience, he received a master‘s degree in Accounting from Florida Atlantic University, obtained his Certified Fraud Examiner (CFE) license in 2012, and obtained his Certified Information Systems Security Professional (CISSP) license in 2025.

Mike Pappacena is a partner at ACA Aponix, ACA Group’s cybersecurity and risk division, where he provides leadership for division initiatives, mentoring and guidance of staff, and vision for future planning and growth. He serves as a team leader in providing cybersecurity risk assessments, vendor due diligence, policy authoring, staff training, and product development. Prior to ACA, Pappacena served as a project manager for Jefferies LLC and worked on several compliance initiatives. He spent 15 years at Goldman Sachs as a vice president in the Technology division, where he managed development teams, as well as the Fundamental Equities and Alternative Investments technology in the GSAM division. He a bachelor degree in electrical engineering from the Pratt Institute and his MBA from Adelphi University. 

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 U.S. Securities and Exchange Commission 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.

Erin Preston is the chief compliance officer for Wedbush Securities, a full-service broker-dealer and registered investment adviser. She has also served as the firm’s anti-money laundering (AML) compliance officer and currently has oversight of the firm’s AML program. With over 17 years’ experience as a legal and compliance professional, Preston has held various senior level compliance roles on the sell-side and buy-side, responsible for transforming and enhancing compliance programs. She earned a B.A. in international relations and affairs from The Ohio State University and a J.D. from the Elisabeth Haub School of Law at Pace University. 

Aliya Robinson is director of congressional affairs for T. Rowe Price, leading the Legislative and Regulatory Affairs team’s work on all retirement-related public policy issues, which includes highlighting emerging retirement and compensation issues, coordinating the company’s policy position, and engaging with industry associations, policymakers, and thought leaders. Robinson previously served at The ERISA Industry Committee and the U.S. Chamber of Commerce. In these roles, she advocated for retirement legislation and testified on retirement and compensation issues before Congress, the Department of Labor, and the Department of Treasury. Robinson earned a B.A. in Economics and African studies from Yale University and a JD and MLA in Taxation from New York University School of Law. 

Dave Rouse is a principal and chief compliance officer at GW&K Investment Management, LLC, with responsibility for managing the firm’s compliance program and is involved with various firm-wide risk management efforts. He is a member of various operating committees at GW&&K including the Investment, Brokerage, Cybersecurity/Business Continuity & Disaster Recovery, ESG, Proxy Voting and Valuation Committees. Most recently, Rouse served as GW&K’s director of compliance and risk management. Prior to joining GW&K, he held various related roles at Wellington Management Company and Fidelity Investments. Rouse received a B.A. in Sociology from St. Lawrence University. He is a member of the Greater Boston Chamber of Commerce Financial Services Leadership Council and is active in investment management industry organizations. 

Tarryn Larson Rozen is director of operations and chief compliance officer of Armbruster Capital Management. Rozen grew up in South Africa and earned a Bachelor of Social Sciences from the University of KwaZulu-Natal. After relocating to the U.S., she began her career working for a private equity firm and discovered her passion for compliance and operations, focusing on how organizations can run more efficiently while adhering to industry regulations. Rozen joined Armbruster Capital Management where she became a registered Investment Adviser Representative. Rozen is engaged in community service in the Rochester, New York region. In 2023, she was honored with the Woman of Excellence Award by the Rochester Business Journal.

Valerie Ruppel is the chief compliance officer of IMA Advisory Services, Inc. Previously, Ruppel was an attorney-advisor in the SEC Division of Examinations, where she conducted examinations of registered investment advisers for compliance with federal securities laws, rules, and regulations. She also served as head of U.S. regulatory consulting for Bovill, a UK based consulting firm, vice president and senior counsel at ALPS Fund Services, and counsel at Empower. She holds a B.A. in Philosophy from Pepperdine University and J.D. from the University of Denver – Sturm College of Law.

Robert Saperstein is senior managing director, the head of Guggenheim Investments Compliance, the chief compliance officer of Guggenheim Partners Investment Management, and senior regulatory counsel. He joined Guggenheim in 2012 and has over 30 years’ experience as a legal and compliance professional. Prior to Guggenheim, Saperstein was CCO and associate general counsel at Caxton Associates; vice president and associate general counsel at Goldman Sachs; and a managing director at Bear Stearns. He also served as an Enforcement Division branch chief of the SEC after beginning his career at Rosenman & Colin LLP. Saperstein is a board member and co-chair of the Regulatory Advisory Committee of the National Society of Compliance Professionals and holds FINRA Series 7, 8,14, and 24 licenses. He graduated from Tufts University and George Washington University Law School with honors.

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. 

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 its global operations and 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.

Jennifer Songer is a partner at Paul, Weiss, Rifkind, Wharton & Garrison LLP where she advises many of the industry’s largest asset managers on legal, regulatory and compliance matters. Prior to joining Paul, Weiss, Songer worked at the SEC, most recently as counsel to the chair on investment management-related issues. Before that, she served as branch chief of the Private Funds Branch in the SEC Division of Investment Management. In that role, she led several rulemaking initiatives and served as a key adviser on private fund-related projects across the SEC. Prior to joining the SEC, Songer was in private practice where she advised clients on the organization and operation of private funds. She earned a B.A. from the University of Pennsylvania and a J.D. from Boston College Law School.

Mark T. Uyeda is an SEC Commissioner. Previously, he served as senior advisor to Chairman Jay Clayton, senior advisor to Acting Chairman Michael S. Piwowar, counsel to Commissioner Paul S. Atkins, and in the Division of Investment Management. He most recently served on detail to the Senate Committee on Banking, Housing, and Urban Affairs as a securities counsel to the committee’s minority staff. Before the SEC, Uyeda was chief advisor to the California Corporations Commissioner and an attorney at K&L Gates and O’Melveny & Myers LLP. He holds a B.S. in business administration from Georgetown University and a J.D. with honors from the Duke University School of Law. Uyeda is the first Asian Pacific American to serve as a commissioner. 

Steven A. Yadegari is the founder and CEO of FiSolve, an outsourced provider of COO, general counsel, and CCO services. Yadegari has more than 20 years of experience in the industry, including senior roles with the SEC, large national law firms, and a leading money management firm. He is director of an Irish UCITS fund complex, a contributor to the SEC’s Asset Management subcommittee for Small Advisers and Funds, an adjunct professor of law at the Cardozo School of Law, and former president of the NY chapter of the Association for Conflict Resolution. He has also trained staff in the SEC’s Enforcement Division and presents at the SEC’s Chief Compliance Outreach programs.