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Compliance’s Role in Hiring and Firing: Tips for Screening, On-Boarding and Termination

SKU: FR500
Total Credits
1 - 1.2
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This CLE program provides guidance for screening and training new hires. Panelists will share their firm’s practices for hiring, ongoing monitoring and terminating personnel.

After attending this session, you will be able to:

  • Learn how to conduct background checks.
  • Review screening techniques for hiring personnel.
  • Identify why compliance should be involved in the on-boarding and termination process.
  • Establish new employee training and information needed.
  • Discuss the termination process.

FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Lecturer Bios

Erin C. Vocke

Erin C. Vocke is Vice President and District Director of the FINRA Dallas and New Orleans District Offices. Ms. Vocke began her career in 1995 as an examiner in the New Orleans District Office. During this time, she conducted numerous routine and cause examinations of member firms and focused examinations in the areas of variable products and mutual funds. In January 2004, Ms. Vocke became Supervisor of Examiners, where she performed supervisory functions, including reviewing examinations and providing guidance to examiners on case development. In August 2004, she relocated to the Florida District Office. At this time, she assumed responsibilities for supervising Continuing Membership Applications and financial surveillance of member firms, in addition to routine and cause examinations. In June 2007, Ms. Vocke transferred to the Dallas District Office as the Associate Director. In this position, she was responsible for overseeing the District Cycle, Cause, Financial Surveillance and Membership Application Programs. In February 2010, she assumed the role of District Director of the Dallas Office. In February 2014, she assumed the role of District Director in the New Orleans Office. Ms. Vocke completed the Accelerated Development Program in 2007 and the Certified Regulatory and Compliance Professional™ (CRCP™) designation in 2003. She received a bachelor’s degree in accounting from the University of New Orleans.

Marla Moskowitz-Hesse

Marla Moskowitz-Hesse is Managing Director in Compliance for Bank of America and has responsibility for a multi-functional role including responsibility as the Co-Head for the Enterprise wide Employee Compliance and Conflicts Function which includes Global Registration & Licensing, Employee Trading and Outside Business Activities and Electronic Communications Compliance. In addition, Ms. Moskowitz-Hesse is the Compliance executive responsible for broker-dealer Operations Compliance. Beginning her career with Merrill Lynch, Ms. Moskowitz-Hesse was with the Firm for 21 years, holding positions within Legal, Compliance and the business. Her experience includes internal investigations, regulatory investigations, regulatory examinations, policies & procedures, registration & licensing, human resources, and technology and operations compliance. Prior to assuming her current role, Ms. Moskowitz-Hesse was at Barclays Capital leading a team responsible for regulatory examinations and investigations. Ms. Moskowitz-Hesse is a graduate of Rider University, where she earned a BS in Business Administration, and Fordham Law School, where she earned her JD. Ms. Moskowitz-Hesse represents the company on industry committees and panels and is also a member of the Compliance and Legal Division of the Securities and Financial Markets Association (SIFMA). Ms. Moskowitz-Hesse is a member of the New York Bar and holds the FINRA Series 7 license.

Ronald Peterson

Ron Petersen is Senior Director of Regulatory Review and Disclosure, FINRA, RAD. In this role, he oversees staff responsible for individual and organization disclosure review, BrokerCheck, statutory disqualification, expungement as well as U6 filings for FINRA, SEC and CFTC/NFA. Prior to joining FINRA (then NASD) in 2001, Mr. Petersen was an Examiner with the Colorado Securities Division, where he established the state’s investment adviser registration and examination programs and oversaw the registration and regulation of local government investment pools managing more than $1.5 billion in assets. He also previously served as RAD’s primary liaison with other securities regulators and supervised the department’s Regulatory User Support Desk, which serves as a front-line resource for the SEC, SROs and state securities commissions. Additionally, he was the Director of the Registration Management unit, during which he oversaw the operation of the FINRA Disciplinary Actions Online database, CRD Accounting, Research and the annual Renewal Program. He received a Bachelor of Music Education degree from Capital University in Columbus, Ohio, and an MBA in Finance from the University of Colorado at Denver.

Patrick Shepherd

R. Patrick (Pat) Shepherd is a founding member of Avondale Partners, LLC and serves as its Chief Executive Officer and Senior Managing Partner. Avondale Partners is a Nashville based investment banking and wealth management firm founded in 2001. From 1983 to 2000, Mr. Shepherd was a General Partner of J.C. Bradford & Co. where he served as the firm’s General Counsel. Thereafter,from 2000 to 2001, Mr. Shepherd served as Vice President and Regulatory Counsel to FOLIOfnInvestments Inc. From 1980 to 1983, he was the Assistant General Counsel of Heinhold Commodities, Inc. in Chicago. Mr. Shepherd has held numerous positions with SIFMA (then Securities Industry Association), including serving on the Executive Committee of the Compliance and Legal Division and Day Chair of the Division’s Annual Seminar and as a Member of the SIA’s Federal Regulation Committee. He serves as Director of Avondale Partners, LLC. He has served as Director of the Second Harvest Food Bank and the Downtown District of the YMCA. Mr. Shepherd has a BBA from the University of Notre Dame and a JD from DePaul University. Mr. Shepherd has board memberships in the following organizations: Catholic Community Foundation of Middle Tennessee, St. Thomas Health, The Endowment for the Advancement of Catholic Schools, The Beacon Center of Tennessee, and Conduit Corporation.



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