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complimentary webinar

Compiling an Efficient and Substantive Annual Compliance Report

Tuesday, February 11, 2020 
12PM EST

With March deadlines looming, is your organization ready to provide a substantive annual compliance report? Join Elin Cherry from Elinphant LLC for helpful guidance on how to efficiently and effectively compile your annual compliance report, including:

  • Using compliance technology to bolster your report by providing supporting evidence for your conclusions
  • Recommended information to include on key topics such as Employee Trading, Attestations, Outside Business Activities and more
  • How to incorporate FINRA systems including Report Cards, BD Updates, and U-4 and U-5 Processing

A Q&A session will follow. 

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Your privacy is important to us and your information will be kept confidential.

this webinar starts in

02/11/2020 12:00 PM EDT

Featured Presenter

Elin Cherry
CEO, Elinphant

Elin is the founder of Elinphant as well as a seasoned Compliance Executive. In her current role, Elin ensures compliance officers are skilled and knowledgeable in relation to each client’s business and needs. She believes that clients are best served by employing skilled professionals to execute on projects and is known for looking at compliance challenges as well as marketing and sales in an innovative and direct manner. Elin possesses deep experience in compliance programs, regulatory relations, testing and monitoring, compliance audits and capital markets, among others.

Prior to founding Elinphant, Elin was a Principal and the Head of Capital Markets at Compliance Risk Concepts, (“CRC”).  Prior to CRC, Elin was Director and Head of Business Unit Compliance, for CIT Group Inc. Elin was also employed with Societe Generale for six years, serving as Managing Director, Head of Global Markets Compliance and Deputy Director to the Chief Compliance Officer. Further, she served in senior compliance roles at Deutsche Bank Securities Inc. and Banc of America Securities. 

Elin holds a J.D. from the University of Denver College of Law and received her B.A., cum laude, from the University of Colorado.

 

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