The Certificate’s instructors bring to the program decades of compliance experience from a full range of industry players.
Carol Beaumier is an Executive Vice President and member of the executive management team of Protiviti, a global consulting firm. She is also a member of the firm’s Risk and Compliance practice. Prior to joining Protiviti, Carol was a Partner with Arthur Andersen where she led the Global Regulatory Practice; a founding member of The Secura Group and leader of the firm’s Risk Management practice; and a regulator with the Office of the Comptroller of the Currency, a bureau of the U.S. Treasury Department. An experienced consultant with more than thirty five years of experience, Carol worked extensively with domestic and international financial institutions on a wide range of regulatory matters, including anti-money laundering and sanction compliance. Carol has written extensively and has been a frequent speaker on regulatory issues.
Barbara Boehler joined Compliance Week as Director of Programming and Education in 2018 with over 17 years of experience as an in-house compliance officer, where she developed, monitored, and assessed both broker-dealer and investment advisor firms’ ethics and compliance programs. Barbara formerly served as Securities SME at Wolters Kluwer Financial Services, Global Chief Compliance Officer at Arete Research, a FINRA-registered broker-dealer specializing in equity research. Barbara also held compliance roles at Fidelity Investments, JP Morgan Invest, Standish Mellon Asset Management, and Babson Capital Management. She teaches compliance practice skills courses at both Suffolk University Law School and Boston University Law School in Boston. Barbara holds a BA from Suffolk University, a JD from Suffolk University Law School, an LLM in Taxation from Boston University School of Law and holds membership in the bars of both Massachusetts and the District of Columbia.
Mr. Cesso is responsible for compliance and legal functions of Computershare, a US subsidiary of Computershare Ltd. of Australia, which specializes in transfer agency, employee equity plans, proxy solicitation and other specialized financial and communications functions. Previously, he had been vice president and associate counsel of State Street Corporation in the Massachusetts State Securities Division.
Stuart Fross is a partner with Foley & Lardner LLP where he concentrates his practice on securities laws and regulations, as part of the Private Equity & Venture Capital, Transactional & Securities and International Practices. Mr. Fross’ main focus is investment managers and pooled investment vehicles, including U.S. registered open-end, closed end and exchange traded funds, bank collective investment funds (with an emphasis a stable value funds), UCITS funds, as well as private funds, organized in the US and offshore. Mr. Fross has extensive experience in equity, high-income and fixed income trading operations, as well as with distribution related issues for registered and unregistered funds, having previously been a partner at K&L Gates and WilmerHale, and having worked at Fidelity Management and Research Company.
Phillip Gillespie served until recently as Executive Vice President and General Counsel at State Street Global Advisors. Mr. Gillespie joined State Street in 2008 and was responsible for the global legal affairs of the firm and oversaw a team of experienced attorneys, paralegals, and assistants. He was also a member of the firm's executive management group. Previously, he served at Oppenheimer Funds, where he was an Assistant Secretary, Senior Vice President, and Deputy General Counsel, responsible for the day-to-day operations of the legal department. Prior to this, he was the First Vice President of Legal Advisory at Merrill Lynch Investment Managers, where he managed a team of attorneys and paralegals providing legal services and oversight for its U.S based investment teams, operations, and its U.S. registered fund business. From 1993 to 1997, Mr. Gillespie was an Attorney with the U.S. Securities and Exchange Commission holding posts as Senior Counsel in the Legal Policy and Counseling Group of the SEC's Office of the General Counsel and as Senior Counsel in the Office of Chief Counsel of the SEC's Division of Investment Management. Prior to this, he was an Associate in the corporate finance practice at Perkins Coie. Mr. Gillespie started his legal career as a Law Clerk. He is a graduate of Georgetown University's School of Foreign Service and earned a Juris Doctor, Magna Cum Laude, from Tulane Law School.
Craig W. Kaylor is the Vice President of Compliance of PeoplesBank in Holyoke, Massachusetts. Prior to this position, Mr. Kaylor was the general counsel of Hampden Bank and its parent company, Hampden Bancorp, Inc., a publically traded company. Mr. Kaylor’s areas of expertise include regulatory compliance, risk management, bank secrecy, internal controls and corporate governance.
Currently with Nomura Securities in New York, Barbara has previously held Chief Compliance Officer positions at Hartford Investment Management Company, Bear Stearns and DB Advisors, was the Director of Global Compliance at Barclays Bank, and was the Head of Investment Management Compliance at Deutsche Bank.
Richard G. Liskov is Senior Counsel at Arent Fox and has practiced insurance regulatory law as Partner and Senior Counsel in various major law firms since 1992, including White & Case, Dentons and Holland & Knight He formerly served as Deputy Superintendent and General Counsel of the New York State Insurance Department (now the New York State Department of Financial Services) The New York State Attorney General appointed him an Assistant Attorney General for the State of New York, in which capacity he handled litigation for the Insurance Department among other state agencies. In private practice he has provided a comprehensive range of insurance regulatory services to insurers,reinsurers, producers, and financial institutions dealing with licensed insurers. Mr.Liskov was a lecturer-in-law at Columbia Law School from 2012 to 2017, where he taught an upper-class seminar on U.S. insurance regulation. He has written articles on insurance regulation for The Wall Street Journal, Business Insurance, and American Banker among other publications.
Joshua Weinberg is Senior Special Counsel in the Division of Investment Management of the U.S. Securities and Exchange Commission. Prior to joining the SEC, Josh was Managing Director and Managing Counsel at State Street Global Advisors, where he was a member of the firm’s Senior Leadership Team. He served as the Chief Legal Officer for registered funds with assets of over $500 billion and led a team of lawyers and legal professionals responsible for handling all legal matters pertaining to one of the world’s largest ETF and mutual fund complexes. A member of multiple industry committees and a frequent panelist and speaker, Josh was recognized as a Rising Star at the Mutual Fund Industry and ETF Awards in April of 2019. Prior to joining State Street Global Advisors, he was an associate in the Financial Services Group of Dechert LLP, where he advised registered investment companies, registered investment advisers and Boards of Trustees on federal securities law matters. Josh earned his B.S., cum laude, from Tufts University and his J.D. from Boston University School of Law, where he served as the Editor in Chief of the Journal of Science & Technology Law. He currently serves on the Board of Directors of the Mystic River Watershed Association.