Deep Dive: The Building Blocks Of An Efficient, Effective Control Room
Join Steve Brown of Compliance Risk Concepts and StarCompliance as we take a deep dive into the best practices and fundamentals of a strong control room operation. Whether you’re an expert in the control room space, or your firm is establishing its first formal control room, this webinar is for you.
Date: Tuesday, September 15th
Time: 11:00am EDT / 16:00 BST
Where: Your home office. Star is coming to you!
“The future of control room is now.” So says control room expert Steve Brown of Compliance Risk Concepts. With over 25 years of experience building and overseeing control rooms, Steve advises global financial institutions in governance, risk management, and compliance best practices. And we’re bringing his expertise to you!
Director, Broker-Dealer Services at Compliance Risk Concepts
Steve is responsible for CRC’s broker-dealer compliance practice. Steve has over 25 years of capital markets compliance experience and is an industry leader in control room, investment banking, and conflicts of interest issues.
Steve has successfully advised and completed over 100 projects for clients, including: assessing and creating control room and conflicts of interest programs; executing broker-dealer new business initiatives; assisting clients in developing governance, risk, and compliance strategies; assessing and implementing supervisory and compliance programs; creating and executing global compliance risk assessments; and assessing and developing global compliance programs.
Prior to joining CRC, Steve spent nine years at PwC as a Senior Director in the capital markets advisory practice, focused on advising global financial institutions. Previously, Steve was Managing Director and Head of Fixed Income and Capital Markets Compliance at U.S. Bancorp Investments, Inc. Steve started his career at Wachovia, where he was Managing Director and Head of Global Investment Banking Compliance and Control Group.
Steve earned his BA degree in Business with an emphasis in Accounting from Lenoir-Rhyne University.
For more information about Steve Brown & Compliance Risk Concepts, visit https://compliance-risk.com/
StarCompliance Director of Product Strategy & Marketing
Tim Ward is Director of Product Strategy and Marketing at StarCompliance, a leading provider of compliance software solutions to the global financial services sector. Tim has spent nearly 25 years in financial compliance, and is an experienced software development professional. At Star, Tim focuses on the mid-to-long term product roadmap—traveling the world, listening to clients and prospects, and keeping his ear to the ground for murmurs of what the marketplace needs and then shaping the STAR Platform in response. Tim has lived and worked in Australia, Singapore, France, and the US, and holds a BEng from Nottingham University in Electrical and Electronic Engineering. He’s currently based out of Star’s York, UK office.