Private Funds
CFO
CFO
Private Fund Compliance Operations Forum
November 19-20, 2024
etc.venues, 360 Madison Avenue, New York
All attendees can earn up to 12.5 CPE and 9.5 CLE credits!
Exploring the role of the private funds CCO
The Private Fund Compliance Operations Forum is a collaboration-first event for compliance professionals to benchmark their processes and bring new strategies back to their firm.
Across two days you’ll take a deep dive into vital strategies needed to meet the evolving non-legal and regulatory expectations for your role.
This Forum is essential for all compliance professionals to discuss how SEC rules are being applied, improve your firm’s practices, and ensure your firm is on pace with the rest of the industry.
Hear from compliance experts this November
Why the Private Fund Compliance Operations Forum?
Benchmark against peers
Benchmark your back-office operations against peer organizations and learn how they are writing their AI, cyber, and data policies.
Build a cohesive strategy
Improve your firm’s risk and data management, cybersecurity, tech solutions, LP relations and much more.
Broaden your understanding
Expand your knowledge base of all things related to the SEC to help guide your firm forward.
Featured speakers
2024 attendees include:
“Event was a great opportunity to hear from three important constituents: SEC staff, industry advisors, and peers in the trenches who deal with the same challenges I deal with.
“
Daniel Gewanter, Kohlberg & Co
“The selection of topics were all very relevant and it was helpful to learn of insights from the panels…”
Eli Oh, Crow Holdings Capital
Build an expansive knowledgebase
Collaborate with your peers through conversational sessions to solve the biggest issues facing the industry. Topics of discussion include:
- What to expect when you’re examined and how to prep
- Talent implications for complying with the private fund adviser rules
- Cybersecurity protocols that reduce exposure across your portfolio
- Firmwide risk management strategies
- And more…
View agenda page
Agenda
Day 1 - Tuesday 19th
Registration - Breakfast
08:00 - 09:00
Registration and Breakfast
Pre-Conference Breakfast Meeting
08:00 - 08:50
Breakfast Meeting: Bringing along the troops: Communicating and training with employees approaches and processes that work
Teresa Bernstein,
Tara McCarthy,
Jemima John,
Jason Scoffield,
Daren Schneider
A 15-minute panel discussion followed by a 35-minute interactive conversation between moderator, panelists and audience members.
- Tailor training and information based on job function
- Evaluate effectiveness of different formats (e.g., live, recorded, written, in person or hybrid) for different outcomes
- Maintain ongoing communications with employees
- Completing training for compliance violations
- Engagement of senior leaders and establishing the importance of trainings
Moderator
Teresa Bernstein, Chief Operating Officer, General Counsel, and Chief Compliance Officer, ACON Investments
Panelists
Tara McCarthy, General Counsel and Chief Compliance Officer, Nitorum Capital
Jemima John, VP, Compliance, Shamrock Capital
Jason Scoffield, Chief Compliance Officer, Audax Group
Daren Schneider, CFO and CCO, JLL Partners
Teresa Bernstein
Chief Operating Officer, General Counsel, and Chief Compliance Officer, ACON Investments
Read bio
Plenary
08:50 - 09:00
PEI Welcome
Brian Anderson
Brian Anderson, Senior Conference Producer, Private Equity International
09:00 - 09:05
Welcome Remarks
Bruce Karpati,
Joann Harris
09:05 - 09:55
Keynote – Fireside Chat SEC Examination Illumination
Aaron Gilbride,
Arjuman Sultana
- Surveying 2025 exam priorities, especially recent trends and changes
- Identifying issues that are most often referred to enforcement
- Illuminating what proper and improper proactive preparation looks throughout process
- Providing the latest key takeaways from sweeps
Moderator
Aaron Gilbride, Partner, Latham & Watkins
Keynote
Arjuman Sultana, Assistant Regional Director of the New York Regional Office’s Investment Adviser/Investment Company Program, U.S. Securities and Exchange Commission
Roundtables | Peer-driven conversations, facilitated by two industry leaders. Throughout the session, facilitators will rotate tables every 30 minutes to ensure all delegates discuss each of the three roundtable topics.
09:55 - 11:35
Compliance considerations during fundraising (Large Departments)
Nicole Krea,
Jennifer (Jenn) McGoey
- Where to go for research and guidance
- What is your role during fundraise
- How to ensure compliance with marketing rules
- Milestones for backwards planning
Facilitators
Nicole Krea, Partner, Ropes & Gray
Jenn McGoey, Chief Compliance Officer, Dawson Partners
09:55 - 11:35
Protocols and solutions to off-channel communications (Large Departments)
Brad West,
Cheyenne Ehrlich
- What technologies work and don’t work
- Explore user-friendly systems for maximum adoption and impact
- Learn why certain protocols work or don’t work
- What’s the ease of review once assortment records are being maintained accurately and completely
- Identifying and mitigating risks and how much is enough
- Discuss nuances of rules (e.g. screen captures)
- What does compliance do with additional data and does it comply with protocols you have in place already
Facilitator
Bradley West, Chief Operating Officer and General Counsel, Pritzker Private Capital
Cheyenne Ehrlich, Chairman & CTO, Firmscribe
09:55 - 11:35
Ongoing operations throughout the year that ensure SEC exam readiness (Large Departments)
Michael Henry,
Joel Wattenbarger
- Get the most out of your mock exams and audits
- Having the business ready for exam throughout the year through continuing monitoring of processes
- Get compliance buy in from the rest of your firm and ensure they are doing their job
- Define and observe proactive transparency
- Impact of 2025 SEC exam priorities
Facilitators
Michael Henry, Senior Managing Director, Chief Compliance Officer, Wafra
Joel Wattenbarger, Partner, Ropes & Gray
09:55 - 11:35
Compliance considerations during fundraising (Small Departments)
Jacqueline Cangero,
Bart McDonald
- Where to go for research and guidance
- What is your role during fundraise
- How to ensure compliance with marketing rules
- Milestones for backwards planning
Facilitator
Jackie Cangero, Counsel, GI Partners
Bart McDonald, Executive Vice President and COO, Renaissance Regulatory Systems
09:55 - 11:35
Protocols and solutions to off-channel communications (Small Departments)
Vivian Hadis,
Jordan Richardson
- What technologies work and don’t work
- Explore user-friendly systems for maximum adoption and impact
- Learn why certain protocols work or don’t work
- What’s the ease of review once assortment records are being maintained accurately and completely
- Identifying and mitigating risks and how much is enough
- Discuss nuances of rules (e.g. screen captures)
- What does compliance do with additional data and does it comply with protocols you have in place already
Facilitators
Vivian Hadis, General Counsel & Chief Compliance Officer, Odyssey Investment Partners
Jordan Richardson, CEO, Firmscribe
09:55 - 11:35
Ongoing operations throughout the year that ensure SEC exam readiness (Small Departments)
Michele Reing,
Nha-Uyen Hua
- Get the most out of your mock exams and audits
- Having the business ready for exam throughout year through continuing monitoring of processes
- Get compliance buy in from the rest of your firm and ensure they are doing their job
- Define and observe proactive transparency
- Impact of 2025 SEC exam priorities
Michele Reing, CFO, COO and CCO, Long Range Capital
Nha-Uyen Hua, Compliance Director, Carlyle
Break
11:35 - 12:00
Networking Break
Breakouts
12:00 - 12:50
Track A: Set up your compliance department for success
Eric Perelman,
Renata Malavazzi,
Lindsay Antoniello,
Karen Hager,
Mark Happe,
Andrea Colabella
- Stay abreast of regulatory environment
- Develop customized policies and procedures
- Develop a robust training program
- How to partner with the business
- Determine how much to use outsourcing vs. in house
- Emphasizing the importance of networking and partnerships
- What experience, expertise or credentials, beyond a law degree, are needed to balance out group
Moderator
Eric Perelman, Corporate Partner, Investment Funds Practice Group, Kirkland & Ellis
Panelists
Renata Malavazzi, General Counsel and Chief Compliance Officer, Paine Schwartz Partners
Lindsay Antoniello, Managing Director and Deputy Chief Compliance Officer, TPG
Karen Hager, CCO, Blue Owl Capital
Mark Happe, Managing Director, CCO, MAI Capital Management
Andrea Colabella, Principal & Executive Recruiter, Cardea Group
12:00 - 12:50
Track B: Cross-department collaboration to manage risk at your firms
Ashleigh Brogan,
Joshua Cherry-Seto,
Mary Catherine Manin,
Eric Feldman,
Sherwyn Williams
- At what point is compliance expected to interact to create timely and efficient interactions
- Where does compliance get it right and where do they get it wrong
- Break down silos to mitigate pain points
- Designing programs that are practical but provide what SEC needs
- Development of appropriate committees
- Training and awareness approaches that work
Moderator
Ashleigh Brogan, Chief Compliance Officer, Declaration Partners
Panelists
Joshua Cherry-Seto, Partner and CFO, StartUp Health
Mary Catherine Manin, Managing Director and Head of Investor Relations, Stone Point Capital
Eric Feldman, Chief Information Officer, The Riverside Company
Sherwyn Williams, Head of IT and Cybersecurity, Siris Capital Group
Mary Catherine Manin
Managing Director and Head of Marketing & Investor Relations, Stone Point Capital
Read bio
Lunch
12:50 - 13:40
Luncheon
Think Tanks | GP ONLY gatherings for candid discussions in a closed-door setting. Join your peers for candid discussions in a closed-door setting, with no media, vendors, or service providers in the room.
13:40 - 14:35
Track A: Think Tank: CCO
Martha Mensoian,
Michelle Vaughn
Designed to facilitate candid discussion, this closed-door session for CCOs targets the issues and challenges impacting your firm. Attendees can benchmark ideas and share best practices to help you gain solutions for common concerns facing your office. Expect to address most pressing matters facing CCOs post PFAR and post election.
Facilitators
Martha Mensoian, General Counsel and CCO, Ethos Capital
Michelle Vaughn, Chief Compliance Officer, Lubert-Adler
13:40 - 14:35
Track B: Think Tank: Senior-level professionals
Gregory Hegerich
Designed to facilitate candid discussion, this closed-door session for senior compliance professionals targets the issues and challenges impacting your firm. Attendees can benchmark ideas and share best practices to help you gain solutions for common concerns facing your office. Expect to address most pressing matters facing CCOs post PFAR and post election.
Facilitators
Greg Hegerich, Head of Compliance, North American Private Markets, Bain Capital
Workshops | These sessions are more interactive than a traditional breakout panel discussion. The sessions begin with a 25-minute panel discussion and are followed by a 40-minute interactive peer-to-peer discussion group.
14:35 - 15:40
Track A: Workshop: Build tech-enabled compliance programs and AI
Brian Rooder,
Junaid Subhan,
Sabina Haq ,
Whitney Vermeulen,
Nikhil Bodade
- How should you use AI for public facing material
- Examine criteria and approval process that should be used
- Explore potential use cases and limitations and possibilities of AI
- Weigh the pros and cons of creating technological tools in house
- Discuss policies and procedures to administer policy to review that this work has been checked
- What “claimed” uses of AI are the SEC most concerned about
- Discuss how AI may be used to eliminate forensic processes and testing, including NDA reviews
- Discuss different technologies peers are using or not using and why or why not
Moderator
Brian Rooder, Chief Compliance Officer & Counsel, Stone Point Credit
Panelist
Junaid Subhan, Vice President, Legal Affairs and Chief Compliance Officer, Sagard
Sabina Haq, CCO/Senior Counsel, Sandbrook Capital
Whitney Vermeulen, Compliance Officer, Wellington Management
Nikhil Bodade, Partner and General Counsel, American Industrial Partners
14:35 - 15:40
Track B: Workshop: Compliance strategies for using third-party technology
Ross Goffi,
Haris Vrahliotis,
James Gaven,
Sarah Christensen,
Charles Steerman
- Defining what you are trying to accomplish
- How to identify and familiarize yourself with the third-party technology landscape
- What does your vendor management plan look like
- Assess/review security environment of tools
- Address issues related to adoption (ease of use, relevance)
- Evaluate cost/benefit of using technology
Moderator
Ross Goffi, Chief Compliance Officer, ParkerGale Capital
Panelists
Haris Vrahliotis, Compliance Director, Towerbrook Capital Partners
James Gaven, General Counsel & CCO, SK Capital Partners
Sarah Christensen, Deputy CCO, Bow River Capital
Charles Steerman, Co-founder and COO, Skematic
Break
15:40 - 16:05
Networking Break
Breakouts
16:05 - 16:55
Track A: Hone your annual review process and testing strategies
Kathleen Servidea,
Darilyn Olidge,
Jerry Sanchez,
Patty Nykodym,
Sarah Pikover
- Areas of focus among compliance teams
- Frequency and scope of testing
- Engagement of third-party consultants
- Timing, completion and documentation of annual reviews
- Best practices for your annual review
Moderator
Kathleen Servidea, General Counsel and CCO, Gallatin Point
Panelists
Darilyn Olidge, General Counsel and CCO, Brightwood Capital Advisors
Jerry Sanchez, CCO, New Enterprise Associates
Patty Nykodym, Chief Financial Officer/Chief Compliance Officer, FFL Partners
Sarah Pikover, Chief Compliance Officer & Director of Operations, 137 Ventures
16:05 - 16:55
Track B: Wearing multiple hats
Laure Brasch,
Lisa Costello,
Eve Mongiardo,
Michael Altschuler,
Jesse Knapel
- Hear how compliance leaders manage all of their roles
- Learn how peers are selling the issues of compliance to peers
- Hear what committees, structures and processes that give compliance a seat at the table
- Discuss outsourcing vs in-house strategies and how compliance leaders manage them
- Streamline and manage multiple projects/tasks with technology that works for you
Moderator
Laure Brasch, Managing Director and Chief Compliance Officer, Franklin Park
Panelists
Lisa Costello, CAO, CCO & Managing Director, HCI Equity Partners
Eve Mongiardo, Chief Financial Officer, Blue Wolf Capital Partners
Michael Altschuler, General Counsel, Comvest Partners
Jesse Knapel, CFO and CCO, Prelude Growth Partners
Plenary
17:15 - 18:05
LP Panel: LPs share their perspective on their view of what makes a good compliance program
David Richards,
Robert McGrail,
Matthew Liposky,
Kim Davis
- What do they like to see in a compliance program during due diligence
- What are common areas of deficiencies
- What are best practices in compliance programs
Moderator
David Richards, Senior Director, Alvarez & Marsal
Panelists
Robert E. McGrail, Head of Legal and Compliance, DUMAC, Inc
Matthew Liposky, Chief Investment Operating Officer, Massachusetts Pension Reserves Investment Management Board
Kim Davis, Senior Director – Compliance & Compliance Counsel, UTIMCO
Tory Horton, Assistant General Counsel, Illinois State Treasurer Michael W. Frerichs
End of Day One
18:05 - 19:05
Networking Reception
Agenda
Day Two - Wednesday 20th
Registration - Breakfast
08:00 - 09:00
Registration and Breakfast
Breakfast Meetings | 15-minute panel discussions followed by a 35-minute interactive conversation between moderator, panelists and audience members.
08:00 - 08:50
Track A: Breakfast Meeting: Firmwide risk-management strategies
Lisa Costello,
Jennifer Mello,
Adan Araujo,
Michelle Bergman,
Adam Childers
- Importance of conducting a risk assessment
- Distinguish between compliance risks and risks that are operational Assessment and re-assessment of key vendors
- What is your policy on vendor due diligence
- What policy and procedures should you have for monitoring key things (e.g. privacy provisions and cybersecurity)
- Create and evaluate processes and policies to mitigate risks
- Determine which safeguards to prioritize and when and how to implement them
Moderator
Lisa Costello, CAO, CCO & Managing Director, HCI Equity Partners
Panelists
Jennifer Mello, General Counsel and CCO, Altamont Capital
Adan Araujo, Senior Managing Director and Chief Compliance Officer, Jasper Ridge Partners
Michelle Bergman, General Counsel & CCO, Vestar Capital Partners
Adam Childers, CFO and CCO, Quad-C Management
08:10 - 09:00
GP-Only Track B: Breakfast Meeting: Technology potluck: Peer-to-Peer reviews of technological tools and service providers
Sandi Kim-Suk,
Steven Spencer
- Comprehensive compliance software
- Discuss tracking LPA, side letters, and political contributions
- IR systems and modules, including marketing materials
- Third-party software monitoring
- Vendors for off-channel communications
- Discuss ramifications of Corporate Transparency Act
- Service providers with AI/AI Components
Moderator
Sandra Kim-Suk, Chief Financial Officer and Chief Administrative Officer, Engine No. 1
Steven Spencer, Executive Advisor – Senior Legal Advisor, Siris Capital Group
Workshops | These sessions are more interactive than a traditional breakout panel discussion. The sessions begin with a 25-minute panel discussion and are followed by a 40-minute interactive peer-to-peer discussion group. In the final ten minutes group leaders will come back to the panel table to present key takeaways from each small group.
09:00 - 10:15
Track A: Workshop: Prepare for your exam and learn how to conduct your firm
Laura Ferrell,
Leigh Rovzar ,
Daniel Gewanter,
Erin Nelson,
Usman Shakeel
- Determine your firm’s exam team composition
- Hear examples of firm’s steps and priorities when preparing
- Trends in referrals to enforcement and how to avoid it
- Hear lessons learned from sweeps
- What procedures should you have in place
Moderator
Laura Ferrell, Partner, Latham & Watkins
Panelists
Leigh Rovzar, Partner, General Counsel & Chief Compliance Officer, BayPine
Daniel Gewanter, General Counsel and Chief Compliance Officer, Kohlberg & Company
Erin Nelson, Regional Head Compliance, Americas, Partners Group
Usman Shakeel, General Counsel and CCO, Wind Point Partners
09:00 - 10:15
GP Only Track B: Workshop: Determining to use compliance consultants and other third parties
Cassandra Rizzo,
Adam Freedman,
Letti de Little,
Devin Holden,
Jennifer Ciresi
- Identifying gaps and determining which roles consultants should fill
- Questions to ask consultants when vetting/selecting and red flags to watch for
- Questions to ask yourself when determining what level of outsourcing you want
- Pros and cons of using regulatory arm of law firm vs using an independent consultant
- Strategies for supervising consultants
- Benefits and challenges related to off-shoring
Moderator
Cassandra Rizzo, Director, Compliance, The Riverside Company
Panelists
Adam Freedman, Managing Director, Chief Compliance Officer, Harbourvest
Letti de Little, Chief Compliance Officer, Grain Management
Devin Holden, Chief Compliance Officer, NovaQuest Capital Management
Jennifer Ciresi, General Counsel and CCO, Redmile Group
Break
10:15 - 10:45
Networking Break
Plenary
10:45 - 11:35
Keynote Fireside Chat Succeeding to and in the role of CCO
Bruce Karpati,
Joann Harris
- Pathways to leadership and what figures into success
- Dealing with frictions that are inherent to the CCO role
- Effect changes with your teams and cope with disruptions
- Trends in exam preparation and systems that ensure preparedness
- New administration and how to cope with changing of the guard
Bruce Karpati, Partner, Global Chief Compliance Officer, KKR
Joann Harris, Firm Partner and Chief Compliance Officer, TPG
Carousel - Efficiencies, best practices and hacks
11:35 - 12:45
Carousel - Facets of Effective Compliance Programs
Brian Anderson
A hybrid of the roundtable and think tank formats, groups will share best practices in three areas. Each table will report back to the whole group the key practices in one category.
Processes
People (internal & external)
Technology/Data Management
Brian Anderson, Senior Conference Producer, PEI Media Group
Plenary
12:50 - 13:40
Cybersecurity protocols that minimize risk
Eric DiFiore,
Giulianna Ruiz,
Teresa Bernstein,
Noah Becker,
Doug Chiciak
- Ensure you have documented policies and procedures and show evidence that they’re followed
- Incorporate cybersecurity best practices with your portfolio companies
- Hear lessons learned from conducting tabletop exercises
- Establish live and recorded trainings that bolster security
- Get additional resources and buy in
- Increase awareness and get buy in from board and other stakeholders
- Balance safeguards with the needs of company to work efficiently
Moderator
Eric DiFiore, CCO, TZP Group
Panelists
Giulianna Ruiz, Partner, General Counsel and Chief Compliance Officer, Trilantic North America
Teresa Bernstein, Chief Operating Officer, General Counsel and CCO, ACON Investments
Noah Becker, VP and CFO, LLR Partners
Douglas Chiciak, Managing Director, Chief Compliance Officer, Lightyear Capital
Teresa Bernstein
Chief Operating Officer, General Counsel, and Chief Compliance Officer, ACON Investments
Read bio
Lunch
13:40 - 14:40
Luncheon
Lead the discussion in 2024
Firms leading the discussion in 2024 include:
- Brookfield Asset Management
- HCI Equity Partners
- KKR
- And more…
Have a topic you would like to discuss at this year’s forum? Contact Brian Anderson at brian.a@pei.group to discuss speaking opportunities.
Teresa Bernstein
Chief Operating Officer, General Counsel, and Chief Compliance Officer, ACON Investments
Kim Davis
Senior Director – Compliance and Compliance Counsel, The University of Texas/Texas A&M Investment Management Company (UTIMCO)
Matthew Liposky
Chief Investment Operating Officer, Massachusetts Pension Reserves Investment Management (MassPRIM)
Mary Catherine Manin
Managing Director and Head of Marketing & Investor Relations, Stone Point Capital
Arjuman Sultana
Assistant Regional Director, New York Regional Office’s IA/IC Program, U.S. Securities and Exchange Commission
Pre-Event Resources
Connect with a community of CFOs, COOs and senior finance executives
The Private Fund Compliance Forum offers a unique opportunity for providers to engage and connect with senior compliance professionals in the private equity sector through thought leadership, networking, and more.
For exclusive sponsorship packages for 2024, contact Josh Stoller at joshua.s@pei.group or call +1 646 970 3923.
2024 Sponsors
Make essential connections
Be a part of the largest gathering of compliance leaders in the industry. Over two days you’ll build up your book of contacts while discussing solutions to shared challenges with this expansive community.
Join compliance professionals from 100+ firms as they discuss SEC best practices and how to strategically prepare your firm.
Sessions promoting collaboration
Breakfast meetings and think tanks
Cover critical issues and exchange solutions on curated topics with your peers at our breakfast meetings and GP-only think tanks.
Networking breaks
Catch up with your peers to build your network and discuss session takeaways during the many designated networking breaks.
Workshops
More hands-on than a traditional panel, our workshops start with a 25 minute discussion followed by a 40 minute peer-to-peer workshop.
Participants at a glance
“Great networking opportunities, interesting topics, and fabulous guest speakers.”
Alexandra Maisel, Sun Capital Partners
“One of my go-to events each year due to the timely program content and excellent panelists.
“
Liz Staley, Leerink Capital Partners
2024 attendees included:
Advisory Board
Teresa Bernstein
Chief Operating Officer, General Counsel, and Chief Compliance Officer, ACON Investments
Venue
Traveling from out of town and need a place to stay? Check out some of the hotels near the venue here.
Thanks for your interest
Thank you for your interest in this year’s Private Fund Compliance Operations Forum. Your requested resource will be emailed to you shortly.
Explore our event website for more information and be sure to secure your place when ready. We hope to see you at the forum this November in New York.
Stay ahead of new compliance regulations
Swap strategies for building an effective compliance program through engaging roundtables, think tanks, and collaborative workshops. Learn how to create cybersecurity protocols, fundraising strategies, and training programs tailored to your needs.
Join a community of compliance leaders
Meet with the largest gathering of compliance experts during peer-driven conversations at this year’s forum. You’ll learn how your peers tackle key issues, ensuring your firm stays aligned with industry standards.
Hear from KKR, TPG, and SEC keynote speakers
Hear from KKR and TPG about exam prep trends, coping with disruptions, and new regulations. Meet Daniel Faigus, the SEC’s Senior Specialized Examiner, Private Funds who will discuss proactive strategies considering enforcement actions, risk alerts, and more.
