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Careers in Financial Services Compliance
City Bar Summer Series
Wednesday, July 9, 2014, 6:30 PM - 8:30 PM

This program is filled to capacity; online registration is closed. City Bar members will be able to view this program online in the upcoming weeks.

Students and Alumni of Sponsoring Law Schools: Free*
City Bar Member: $15
Non-Member: $30

* Students and Alumni from sponsoring law schools: To ensure your free registration, please update the 'law school' section under Manage My Account prior to registering, or register using your law school email address.

View the 2014 Summer Series Brochure
For questions or to register, please sign in or call (212) 382-4723.

Increased transparency has been a dominant trend in the financial services field for the past few years. The Dodd-Frank Act and the regulations subsequently adopted by the SEC and the CFTC have also resulted in a significant increase in the need for compliance specialists in the financial services industry. Financial services compliance professionals are tasked with ensuring compliance of regulatory requirements protecting the reputation of the company for which they work and leading their compliance and ethical initiatives. This panel will provide you with information on how to leverage your law degree and experience in the area of financial services compliance. Panelists and discussion leaders will share information about their day-to-day activities and the steps they took to become compliance specialists in the financial services field.

The first hour will be a panel presentation followed by small group discussions led by our panel members and other compliance practitioners giving you the unique opportunity to ask questions and gain significant insight into this exciting practice area.

Ronald H. Filler
Professor of Law, Director, Graduate Program in Financial Services Law
New York Law School

Gary DeWaal
Special Counsel
Katten Muchin Rosenman, LLP

Michael McMaster
Managing Director and Chief Compliance Officer
BNY Mellon Capital Markets

Rose-Anne Richter
Managing Director
Morgan Stanley

Robert Saperstein
Managing Director and Senior Regulatory Counsel
Guggenheim Partners

Discussion Leaders:
Rakhi Bahadkar, Director of AML Investigations, Morgan Stanley;
Addya Bhowmick, Assistant Vice President, AML Advisory, Citi;
Denise Carlin, Director of Compliance Business Development & Recruiting, Strategic Legal Solutions;
Sharon M. Davison, Counsel, Seward & Kissel;
Eshai Gorshein, Director - Legal & Compliance, Morgan Stanley;
Janet Halecky, Managing Director, Global Compliance Program Executive, Bank of America Merrill Lynch;
Evan Kelley, Vice President, AML Compliance, BBVA;
Debra Roth, Executive Director, Morgan Stanley;
Nicole Schermerhorn, Senior Associate, PricewaterhouseCoopers LLP

Save the Date - City Bar Summer Series
July 22nd - Careers in Family & Matrimonial Law
August 12th - Careers in Labor & Employment Law

Special Thanks to our Sponsors:


42 W 44th Street, New York, NY 10036


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