SOURCE: Red Oak Compliance Solutions LLC

Red Oak Compliance Solutions

May 02, 2016 08:00 ET

Stephen Pope to Speak at Two Compliance Conferences in May & June 2016

Charles Schwab Compliance Solutions 2016 National Conference in Austin, Texas & 2016 Currin Insurance Compliance Symposium in Albany, NY

AUSTIN, TX--(Marketwired - May 02, 2016) -  Stephen Pope, Co-Founder of Red Oak Compliance Solutions, LLC, will speak at the Charles Schwab Compliance Solutions 2016 National Conference to be held in Austin, Texas May 5-6, 2016. He will also be speaking at the Currin Compliance Symposium in Albany, NY the week of June 22-24, 2016.

Stephen's topic for the Schwab Compliance Solutions National Conference is "Increasing the Effectiveness of your Cybersecurity Program." The panel session will be held on Thursday, May 5, 3:00 to 4:00 PM. Regulators remain keenly focused on cybersecurity preparedness and the continual need to assess the effectiveness of programs. This session will provide practical guidance and takeaways to help companies better understand and meet regulatory expectations. Topics will include governance, incident response, vendor management, data loss prevention and cyber liability insurance.

"Advertising Review and Dually Registered Producers" is Pope's topic for the Currin Insurance Compliance Symposium. This session discusses the requirements for electronic books and records and FINRA filing when approving material for RIAs and Broker-Dealers. It also explores the due diligence necessary to select technology vendors.

Stephen brings a wealth of experience in developing mission-critical software applications for the financial services industry. With over 27 years of experience in software sales and development, sales management, marketing, and operations, Stephen's consultative approach is well-suited to working with independent advisers.

Stephen served as Director of Application Engineering at NFP Securities where he led a team of developers to create custom software for the broker/dealer and RIA. Stephen was the Managing Director of Operations for Perficient, Inc., a public company with 220 consultants. He is an entrepreneur who has owned several successful start-ups and has vast experience in project management and client relationship-building. He is also well-versed on the latest cutting-edge technology in the financial industry.

Stephen has a Masters of Business Administration degree. He is a member of the National Society of Compliance Professionals; a former member of the Project Management Institute; has both Microsoft and IBM technical certifications; and previously held a FINRA Series 7.

Have compliance questions? Let Red Oak Compliance Solutions help navigate the rules and regulations and keep you compliant. Visit us at www.redoakcompliance.com.

Find out why AdMaster is the best advertising review solution in the world. Visit our website at www.redoakcompliance.com/admaster.

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