The Certificate’s instructors — all faculty members BU Law’s Graduate Program in Banking and Financial Law — bring to the program decades of compliance experience from a full range industry players
Director of the Graduate Program in Banking & Financial Law, Jim has held senior regulatory positions with Security Pacific in Los Angeles, Bank of America in San Francisco, and Bankers Trust, Citigroup and Morgan Stanley in New York, after starting his career at the Board of Governors of the Federal Reserve System.
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 is an attorney and compliance officer with over 17 years of experience in the financial services sector. Boehler has served in compliance roles in both large and small firms in the Boston area, and she has experience developing, monitoring and assessing both broker-dealer and investment advisor firms’ ethics and compliance programs across all jurisdictions, including all conflicts of interest, personal account dealing, licensing, training, internal audit and assessment, as well as sales practice compliance. Boehler formerly served as Global Chief Compliance Officer for Arete Research, LLC, a FINRA-registered broker/dealer specializing in equity research, with locations in Boston, London, and Hong Kong. Boehler worked in compliance leadership roles at Fidelity Investments, JP Morgan Invest, Standish Mellon Asset Management, and Babson Capital Management. In her role for the financial services division of Wolters Kluwer, Boehler serves as the Securities Subject Matter Expert in support of Compliance Program Management products in North America.
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.
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.