WHO WE SERVE. Regulators Business and Law Schools. Executives and Staff Job Seekers & Students

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1 RCA MISSION Protect investors and financial markets as the exclusive authority for compliance education, training, accreditation, certification, skills assessment, and employee development. 1

2 WHO WE SERVE Regulators Business and Law Schools Executives and Staff Job Seekers & Students Institutional Investors Financial Services Organizations 2

3 WHAT WE OFFER Compliance & Operational Skills Assessment and Training On over 4500 topics across regulation, compliance, examinations, investigations, law, enforcement, operational process, due diligence, governance, accounting and related industry practice including: 100 hours of CPE 600 hours of CLE 600 hours of CCE (Continuing Compliance Education) 3

4 WHAT WE OFFER Professional Licensure and Certification Thousands of recognized regulators and executives to validate a candidate s core competencies and skill sets on 4,500 topics CRC (Chartered Regulatory Counsel) CRA (Chartered Regulatory Analyst) 4

5 Education WHAT WE OFFER Executive MS and LLM in Regulation and Compliance Executive Bachelors of Science in Regulation and Compliance Accreditation RCA is the exclusive programmatic accreditation agency for CCE (Continuing Compliance Education). RCA uses a rigorous process to accredit academic courses and compliance training offered by universities, law and CPA firms, continuing education providers and executive training firms. 5

6 Dechert LLP ERISA Practice- Proud Sponsors of RCA s PracticEdge Series and user-interface platform Dechert's ERISA attorneys provide fiduciary, compliance and general ERISA advice to financial institutions and other clients. Andrew L. Oringer, the co-chair of Dechert's Employee Benefits and Executive Compensation Group, is a Senior Fellow from Practice for the RCA, and serves as the primary author for RCA sessions covering a range of topics including ERISA and general legal ethics. Dechert is an international law firm with top-ranked practices in corporate and securities, complex litigation, finance and real estate, and financial services and asset management. The firm has more than 130 financial services lawyers in the United States, Europe, and Asia who advise on a full spectrum of legal areas, including, in addition to ERISA (and executive compensation), fund formation and offerings; investment-company and investment-adviser regulation; broker-dealer regulation; bank regulation (including common and collective trust funds); derivatives regulation; and tax structuring. 6

7 Symposia NETWORKING & LEARNING CompliancEdge Roundtables PracticEdge and myuniversity RCA s Go To Knowledge Resource Platform *(Used by regulators and financial services organizations to provide a accredited, comprehensive, searchable and database driven knowledge resource covering over 4,500 topics spanning 250 courses.) 7

8 Careers in Compliance Walter Zebrowski, JD, CPA, Chairman, Regulatory Compliance Association NFA Guest Faculty: Tom Sexton, JD and Senior Vice President and General Counsel Patricia Cushing, CPA, CFE, Compliance Director Regina Thoele, Senior Vice President of Compliance Dan Driscoll, CPA, COO, Executive Vice President

9 What was your first paying job? 9

10 How did you enter the compliance profession? 10

11 What was your first role in compliance? How has your career progressed since you entered? 11

12 What opportunities came your way that you had the foresight to take advantage of? 12

13 What opportunities did you actively seek? 13

14 What attracted you most to a career in compliance? 14

15 How have you grown professionally since you entered into the compliance profession? 15

16 How have you transitioned to roles of greater responsibility? 16

17 How will compliance jobs change over the next 5-10 years? What will become pre-requisites to obtain a compliance position? 17

18 What are the job prospects for compliance roles? Are the number of jobs increasing or decreasing? How are the roles changing? 18

19 What has been the most rewarding aspect of your career? 19

20 What did you find most challenging? 20

21 Looking back, what knowledge, information or hindsight would have been most helpful to you in your early roles or early on in your career? What do you wish you would have had access to then? 21

22 What characteristics, education or experience set someone up for success in compliance roles? 22

23 What advice would you give to new graduates looking to break into this field? 23

24 What advice would you give to professionals looking to make a career move into compliance? 24

25 What is the best way for candidates to distinguish themselves and increase their chances to get hired? 25

26 What is the best approach for candidates to network with compliance professionals and identify possible opportunities? 26

27 What recommendations do you have for someone wanting to break into the compliance field? Where should a job seeker start their journey? 27

28 How can a job seeker move beyond you need compliance experience to get a compliance job? What advice would you share? 28

29 Where is the greatest need for compliance professionals to gain deeper education and training? 29

30 Speaking Faculty Biographies 30

31 Tom Sexton, President and CEO Thomas W. Sexton III, is President and CEO of the National Futures Association. Mr. Sexton joined NFA in July of 1991 and prior to NFA, he worked in the law offices of Ogden Murphy Wallace, located in Seattle, Washington. Mr. Sexton holds a law degree from the University of Notre Dame Law School, an MBA degree from Loyola University and a Bachelor of Arts degree in Government from the University of Notre Dame. Mr. Sexton is a frequent panelist at industry conferences and seminars, where he speaks on topics pertaining to futures industry regulatory issues. 31

32 Director Patricia Cushing, CPA, CFE, Compliance Patricia L. Cushing is a Director of Compliance at National Futures Association ( NFA ). She has worked at NFA since Ms. Cushing's responsibilities included overseeing staff who conduct financial and compliance examinations, investigations and financial surveillance of brokerage firms in the commodity futures industry and assisting with the enhancement of NFA s risk management systems. Currently, Ms. Cushing manages the design of the department's exam programs and software and is responsible for the training of the examination staff. She leads the Compliance Department s Member education efforts, advises Members on compliance issues, and presents at industry conferences. Ms. Cushing has served as a primary liaison between NFA and the CFTC in the development of rules affecting Commodity Trading Advisors and Commodity Pool Operators. Ms. Cushing is a graduate of Saint Mary s College in Notre Dame, Indiana (B.B.A. degree in finance/accounting and a minor in mathematics, magna cum laude). She is Certified Public Accountant, Certified Fraud Examiner and a Certified Regulatory Compliance Professional, having received this designation through the FINRA Institute at The Wharton School of Business. 32

33 Regina Thoele, Senior Vice President of Compliance Regina G. Thoele is Senior Vice President of Compliance at National Futures Association (NFA). Her current responsibilities include overseeing the Compliance Department's exam, investigation, financial surveillance, and risk management programs; working on enforcement cases; advising Members on compliance issues; assisting NFA Member committees; participating in industry conferences; and developing and monitoring Compliance Department goals. In addition, Ms. Thoele works with NFA s Legal Department to develop rules and interpretive guidance, makes presentations to NFA s Executive Committee and Board of Directors and to other outside organizations, and develops strategic plans and initiatives for NFA s Compliance Department. From July 1994 until March 1998, Ms. Thoele held the position of Arbitration Manager and was responsible for supervising staff and helping manage the Arbitration program. Ms. Thoele has also served as an adjunct faculty member at the Illinois Institute of Technology, where she taught a compliance course. Ms. Thoele attended Indiana University and received a B.S. degree in finance. Ms. Thoele also received her designation as a Certified Regulatory and Compliance Professional through the NASD Institute at The Wharton School, as well as her designation as a Certified Fraud Examiner through the Association of Certified Fraud Examiners 33

34 Dan Driscoll, CPA, COO, Executive Vice President Daniel A. Driscoll is Executive Vice President and Chief Operating Officer of National Futures Association (NFA), the premier independent provider of innovative and efficient regulatory programs that safeguard the integrity of the derivatives market. Mr. Driscoll joined NFA as Vice President, Compliance in September of 1982 at the time NFA began operations. In February of 2000, Mr. Driscoll was named Executive Vice President and Chief Compliance Officer. His tenure as Chief Operating Officer began on January 1, Prior to joining NFA, Mr. Driscoll worked for the Commodity Futures Trading Commission for several years where he held a number of positions, culminating as Deputy Director in the Commission s Division of Trading and Markets. Mr. Driscoll graduated from Aquinas College, Grand Rapids, Michigan, in 1971 with a Bachelors Degree in Accounting and a second major in Economics. 34

35 Disclaimer PRACTICEEDGE SERIES DELIVERED BY THE RCA, ITS ENDOWING ORGANIZATIONS AND AFFILIATE LAW SCHOOLS CONSTITUTE A PREVIEW OF A RESPECTIVE CLASS SESSION IN THE LAW & MASTERS CONCENTRATION OR MYUNIVERSITY. THE PRACTICEEDGE SERIES IS INTENDED FOR INFORMATIONAL PURPOSES. THE COMMENTS MADE BY EACH MEMBER OF THE SPEAKING FACULTY REPRESENT THEIR PERSONAL VIEW, AND NOT THE POSITION OF THE REGULATORY COMPLIANCE ASSOCIATION (RCA), ITS ENDOWING ORGANIZATIONS, AFFILIATE LAW SCHOOLS OR UNIVERSITIES, OR A SPEAKER S FIRM OR ORGANIZATION. ADDITIONALLY, THE VIEWS EXPRESSED AND MATERIALS PROVIDED DO NOT CONSTITUTE LEGAL OR PROFESSIONAL ADVICE, OR EVEN A MODEL OF THE SAME, APPLICABLE TO ANY SPECIFIC MATTER. LASTLY, THE RCA AND OUR ENDOWING FIRMS ASSUME NO LIABILITY FOR ANY ACTIONS OR COMMENTS OF THE SPEAKING FACULTY - SUCH INDIVIDUALS REMAIN SOLELY LIABLE FOR THE SAME. 35