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The Distinction Between Supervisory and Compliance Roles

SKU: FR8100
Available In:
General Credits
  • Instant Online Access
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This CLE program will provide guidance on the challenges facing compliance professionals. Separation of compliance and business supervision roles is becoming much more difficult. Join FINRA staff and industry practitioners as they discuss how their firms are defining the roles of supervisors and compliance personnel.

After attending this session, you will be able to:

  • Compare and contrast the distinction between the first and second lines of defense.
  • Understand the challenges facing compliance professionals.
  • Implement effective practices related to a culture of compliance and conflicts of interest framework.

Lecturer Bios

Donald Lopezi

Don Lopezi is Senior Vice President and Regional Director of FINRA’s West Region. The West Region consists of the District Offices located in Denver, Los Angeles, San Francisco and Seattle. The West Region is responsible for conducting examinations, investigations and ongoing surveillance of broker-dealers and registered persons located in the western half of the United States. Previously, Don was the District Director of the FINRA San Francisco District Office. Prior to joining the San Francisco Office, Don was a Director of FINRA’s Examination EPG, among other things, authored and maintained examination policies and procedures used by FINRA’s examination staff, coordinated national special projects and initiatives, and oversaw the national examination program—the regulated firm-focused examination and surveillance activities conducted by FINRA’s Member Regulation Department. Don began his career as an Examiner in NASD’s Denver District Office in 1992 and, after serving as a Supervisor in the Denver District Office, joined the Washington, DC, office in September 2003. He graduated from the University of Colorado at Boulder with a B.S. degree in Accounting, and received his MBA from the University of Colorado at Denver.

Steve Klein

Steve Klein is Chief Compliance Officer of Farmers Financial Solutions and has served in this capacity since inception of the firm. He previously has held a number of positions with various broker-dealers and their affiliated investment advisors, including positions in Compliance, Branch Development, Advisory Service Operations, and Sales Management. He was previously a Senior Examiner for the California Securities Division. He holds multiple securities registrations and life insurance licenses. Mr. Klein earned a Bachelor of Science in Business Administration-Accounting from California State University at Northridge.

Peter K. Vonk

Peter K. Vonk is Executive Vice President, Business Services for CUSO Financial Services, LP (CFS) and Sorrento Pacific Financial, LLC (SPF) and Chief Compliance Officer for CFS. In his position, Mr. Vonk oversees the legal, compliance and registration departments at CFS and SPF. CFS and SPF, sister firms, are both full service broker-dealers and SEC Registered Investment Advisors providing financial services to approximately 200 credit union and bank investment programs. Mr. Vonk has been employed in the financial services industry since 1984. In his career, he has worked for firms recognized as leaders in the wire house, bank and independent broker-dealer channels. In addition to his extensive broker-dealer compliance experience, he has also held management positions in cash management, institutional trust and global banking and has served on the FINRA District Committee.

The National Academy of Continuing Legal Education is a Florida Bar Accredited CLE Sponsor (Sponsor # 0185716). To view our full accreditation details, please click here.

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