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Remote Supervision: Compliance Challenges in a Remote Working World

Total Credits
1 - 1.2
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The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all staff to remote work environments and implement remote supervisory practices. Join FINRA staff and industry panelists as they discuss challenges firms face with staff working from home during the COVID-19 pandemic.

Panelists also share what they have learned from these events and how they have improved their Business Continuity Plans (BCP) plans.

Lecturer Bios

Scott Murray, Esq.

Scott Murray is Senior Vice President and Director of Regulatory Relations for Wells Fargo’s retail broker-dealers. Based in St. Louis, Mr. Murray leads a team of professionals that manage the Firms’ regulatory interactions with all of their federal, state and SRO examining authorities including the FRB, OCC, SEC, CFTC, IRS, FINRA, NFA and State Securities, Insurance, Unclaimed Property and Mortgage agencies, among others.

Prior to this position, Mr. Murray was a Senior Regulatory Counsel within Wells Fargo’s Law Department. Mr. Murray’s in-house practice concentrated mostly in the area of complex internal investigations and representing the retail Firms before numerous federal, state and local governmental agencies and industry SROs.

Prior to Wells Fargo and predecessor firm, Wachovia Securities, Mr. Murray was a Senior Associate with the Chicago – based law firm, Gardner, Carton & Douglas (now Drinker Biddle) where he counseled numerous financial services clients and litigated an array of securities and futures-related matters including customer and intra-industry disputes, securities class actions and SEC, CFTC and SRO investigations and enforcement proceedings.

He started his career as an examiner for the NASD (a predecessor firm to FINRA), worked for Fidelity Investments, and during law school clerked for the U.S. Department of Justice/Antitrust Division and the Massachusetts Attorney General’s Office/Public Charities.

Thomas Mellett

Thomas Mellett is Head of Capital Markets Examinations for FINRA’s Member Supervision department. He is responsible for examinations of FINRA members that are primarily engaged in Capital Markets business activities, including Institutional Private Placements, Investment Banking, Mergers & Acquisitions, Product Origination & Wholesaling, and Public Finance, among others.

Prior to this role, Mr. Mellett was the District Director of FINRA’s San Francisco District Office, where he was responsible for the office’s examination and risk monitoring programs. From 2013 to 2015, Mr. Mellett was a Surveillance Director during which time he supervised regulatory coordinators who planed examinations and conducted risk monitoring of member firms. From 2010 through 2012, Mr. Mellett was an Examination Manager responsible for supervising routine examinations of member firms. He transitioned into management after working as an examiner.

Mr. Mellett is designated as a Certified Regulatory and Compliance Professional™ (CRCP™) through the FINRA Institute. Mr. Mellett holds a bachelor’s degree in finance from Bentley University.

Colleen Diles

Colleen Diles is Risk Monitoring Director in the Retail Independent Contractor Firm Group. Ms. Diles and her team are responsible for identifying and addressing current and emerging risks at member firms. Ms. Diles was involved in the evolution of the risk monitoring program over the years and the transformation efforts at FINRA, working on various national initiatives that shaped the risk monitoring and examination programs.

Additionally, Ms. Diles is the Office Senior Leader and Primary Point of Contact for the Los Angeles office. Her responsibilities include building and sustaining employee engagement and camaraderie in Los Angeles and ensuring the continued sharing of regulatory intelligence between FINRA and local regulatory agencies.

Ms. Diles has 24 years of securities industry experience, including 20 years in securities regulation. Prior to joining FINRA, Ms. Diles was a Mutual Fund Administration Supervisor at Chase Global Fund Service Company in Boston, Massachusetts. Ms. Diles earned a Bachelor of Science with a concentration in from Merrimack College, and she completed the Excellence in Management Program at Wharton School of Business.

Jessica Pastorino

Jessica Pastorino has been involved in the securities industry since 2006 with a focus on compliance and operations for privately-placed transactions including capital raising and M&A advisory services.

As President and Chief Compliance Officer for M&A Securities Group, Ms. Pastorino runs a firm that offers a broker-dealer platform for independent middle-market investment banking professionals and boutique advisory groups. Ms. Pastorino believes in a solution-based approach to compliance challenges. Ms. Pastorino holds her Series 24, 79, 62, 22, 39 and 63 licenses.

Ms. Pastorino earned her Bachelor of Arts Degree in English at California State University Long Beach and serves as a member of the FINRA District and FINRA CAP committees.

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