Compliance: Beyond the Edge of the Horizon

Stacia Graham

Managing Director and Asset Management Lead

Stacia Graham has more than 20 years of experience in investment management, bringing a deep understanding of end-to-end asset management processing and project management to her role as Managing Director at Cutter Research. Prior to Cutter, Stacia worked at Wellington Management Company LLP in Boston in various roles within compliance and operational risk, including leading and managing the global Investment Guideline Compliance team for eight years. She earned a bachelor of science in business administration from Bryant University and an MBA from Bentley University.

Recent research assignments and publications include the following:

All-In-One or Standalone Solutions? Finding the Right Technology Strategy
Asset Allocation Solutions
Governance, Risk, and Compliance (GRC) Systems
Performance Measurement and Attribution Systems
Rethinking Research Management
Robotic Process Automation (RPA)
The Future of Work in Investment Management

Todd Spillane

Senior Director, Consulting

Todd Spillane brings more than 20 years of industry experience, with a focus on compliance and legal functions in investment management, to his Senior Director’s role at Cutter Associates. At Cutter, he is the subject matter expert and advisor on compliance initiatives, providing thought leadership as well as strategic and tactical advice. In addition to compliance, his areas of expertise include risk management, valuation, and legal oversight. A featured speaker at various industry forums on compliance-related topics, he has presented on compliance and risk management for investment managers. Prior to Cutter, he held several compliance, general counsel, and COO leadership roles, including most recently as GC, CCO, and COO of AlphaTrAI. He also was Executive Director at Morgan Stanley Investment Management, where he oversaw the compliance program for Morgan Stanley Funds. A graduate of Fairfield University and Western New England School of Law, Todd is a member of the Connecticut Bar.

May 24, 2022

While the future holds a number of challenges for compliance professionals, we focus in this Cutter Conversation on two of the important issues: ESG and SEC examinations.

ESG

We all know about ESG, but what does it mean to compliance professionals? I think it is likely the SEC will bring an enforcement action against a significant player in the near future relating to ESG and probably even use the “F word” – yes … “fines.” Be forewarned!

Increased Amount of SEC Examinations

SEC examinations will create challenges as the expectations for ESG continue to rise. You need to prepare now to respond in a timely manner.

Watch Cutter Research Analyst Stacia Graham and Cutter Consultant Todd Spillane discuss these two issues.

If you would like to continue the conversation with Stacia or Todd, contact us a [email protected].

And for Cutter members, don’t forget to register to join your peers for the Modern Compliance Virtual Meeting on Wednesday, June 15.

We’ll cover the following areas:

Understand how your peers are managing compliance in a review of the 2022 Cutter Benchmarking survey results
Get an update on how technology can assist electronic communications oversight
Hear thoughts on how investment guideline compliance process and technology continue to advance and adapt to product innovation and unique client requirements