Brooklyn Law School Career Center is pleased to offer programs on career management, growth, and change for experienced alumni.
The Center for the Study of Business Law & Regulation and the Career Center Present:
The Compliance Role in Financial Institutions, A Case Study: How Dodd-Frank is Changing the Municipal Securities Industry
Tuesday, March 25, 2014
6:00-7:00 PM Panel
7:00-8:30 PM Networking Discussion Groups
Refreshments will be served after the panel presentation.
Brooklyn Law School
Feil Hall, Forchelli Center
205 State Street
RSVP online at www.brooklaw.edu/compliance
, Gerald Baylin Professor of Law, Brooklyn Law School
David Levy '83
, Managing Director, Corporate Compliance, U.S. Bancorp
Howard Wynn '85
, Managing Director, RBS Global Banking & Markets
Leon J. Bijou '81
, Senior Corporate Counsel, U.S. Bank Municipal Securities Group
The once sleepy field of compliance has emerged and is the hottest topic on Wall Street. Our panelists will examine the role of a Compliance Department in today’s financial institutions in the context of a significant change in the regulatory environment. They will address the role of the Compliance Department, its difference from the Legal Department and its place in a financial institution. They will also discuss the various functions of Compliance Officers and their interactions with federal and state regulators.
In particular, the panelists will examine the fundamental ways the Dodd-Frank Wall Street Reform and Consumer Protection Act is changing the municipal securities industry. Attendees will hear about how a statute passed by Congress leads to new rules and regulations proposed by the regulatory agencies and what role Compliance Departments play in implementing the new rules.
After panel presentation there will be small group networking discussions led by additional compliance alumni. Attendees will rotate through several discussion groups and will have an opportunity to ask questions of multiple practitioners in a small group setting, thus gaining insight and perspective into the compliance field.
"I Do, I Do, I Don't: The Drafting and Enforcement of Pre-Nuptial Agreements in Today's Family Law Practice
Discussion and Reception with Stanford Lotwin '54, Chair and Partner (Retired), Matrimonial Practice Group, Blank Rome LLP
Career Center Panel Discussion: Careers in Technology Law
Charles Kwalwasser, General Counsel, Quirky
Robert Rosenberg ‘96, SVP, Deputy General Counsel & SVP, Digital Strategy, Showtime Networks Inc.
Larry Bortstein ’94, Bortstein Legal Group
Ari Shahdadi, General Counsel, Tumblr
Roy A. Shulman ’85, Vice President & Chief Legal Officer, Operations & Systems, Prudential Financial, Inc.
Dona Fraser ’01, Vice President, Privacy Certified, Entertainment Software Rating Board
Professor Jonathan Askin, Brooklyn Law School
In Fashion: Four BLS Alumni Who Rule the Runway
Susan Posen '78, Chair of the Board, Zac Posen
Lee Sporn '86, Senior VP Business Affairs and General Counsel, Michael Kors
Sherry Jetter '86, Senior Vice President and General Counsel, HMX, LLC.
Avery Fischer '93, Senior VP, General Counsel & Secretary, Ralph Lauren
Leslie G. Fagen, Esq., Partner, Paul Weiss, Rifkind, Wharton & Garrison LLP
View photos from the event.
For more information on upcoming Career Center programs, please contact Susan Bainnson, Associate Director of Alumni Career Services.
Watch videos of previous Career Center programs:
Making Rain in the Desert: Business Development in a Down Economy
Resume Writing Workshop for Lawyers