Private Funds
CFO
CFO
Private Fund Compliance Operations Forum
November 12-13, 2025
Convene, 360 Madison Avenue, New York
Exploring the role of the private funds CCO
The Private Fund Compliance Operations Forum is a collaboration-first event for compliance professionals to benchmark their processes and bring new strategies back to their firm. Across two days you’ll take a deep dive into vital strategies needed to meet the evolving non-legal and regulatory expectations for your role.
This Forum is essential for all compliance professionals to discuss how SEC rules are being applied, improve your firm’s practices, and ensure your firm is on pace with the rest of the industry.
Why the Private Fund Compliance Operations Forum?
Benchmark against peers
Benchmark your back-office operations against peer organizations and learn how they are writing their AI, cyber, and data policies.
Build a cohesive strategy
Improve your firm’s risk and data management, cybersecurity, tech solutions, LP relations and much more.
Broaden your understanding
Expand your knowledge base of all things related to the SEC to help guide your firm forward.
2024 featured speakers
2024 attendees include:
“Event was a great opportunity to hear from three important constituents: SEC staff, industry advisors, and peers in the trenches who deal with the same challenges I deal with.
“
Daniel Gewanter, Kohlberg & Co
“The selection of topics were all very relevant and it was helpful to learn of insights from the panels…”
Eli Oh, Crow Holdings Capital
Build an expansive knowledgebase
Collaborate with your peers through conversational sessions to solve the biggest issues facing the industry. Topics of discussion include:
- What to expect when you’re examined and how to prep
- Talent implications for complying with the private fund adviser rules
- Cybersecurity protocols that reduce exposure across your portfolio
- Firmwide risk management strategies
- And more…
Have a topic you would like to discuss at this year’s forum? Contact Kellie Green at kellie.g@pei.group to discuss speaking opportunities.
View agenda page
Agenda
Day 1 - Wednesday 12th
Registration - Breakfast
08:00 - 08:50
Registration and Breakfast
Plenary
08:50 - 09:05
Welcome Remarks
09:05 - 09:50
Keynote – Staying Aligned with the SEC: A Fireside Chat with the Private Funds Unit
Matthew Harris
In this candid conversation, Matthew Harris, CFA, Assistant Director and Co-Head of the SEC’s Private Funds Unit, shares insights into the Commission’s current priorities, risk areas, and expectations for private fund advisers.
Moderator:
- TBA
Keynote:
Matthew Harris, CFA, Assistant Director and Co-Head of the Private Funds Unit, U.S. Securities and Exchange Commission
Matthew Harris
Assistant Director and Co-Head of the Private Funds Unit, U.S. Securities and Exchange Commission
Read bio
09:50 - 10:40
Plenary Session – From Policy to Practice: Operationalizing Today’s Most Critical Compliance Rules
Jacqueline Cangero
- Proven approaches to embedding key rules into day-to-day workflows
- Marketing Rule
- AML/KYC frameworks
- Off-Channel Communications controls
- Valuations
- Building effective partnerships across compliance, legal, operations, and business teams to ensure aligned execution and ownership
- Developing procedures and oversight frameworks that scale across fund structures, geographies, and portfolio companies without losing effectiveness
Moderator:
- TBA
Panelists:
Jackie Cangero, Counsel (Real Estate & Corporate), GI Partners
Break
10:40 - 11:00
Networking Break
Roundtables: Peer-driven conversations, facilitated by two industry leaders. Throughout the session, facilitators will rotate groups every 30 minutes to ensure all delegates discuss each of the three topics
11:00 - 11:30
Topic: Overcoming data fragmentation and streamlining regulatory and LP reporting
11:35 - 12:05
Topic: Enhancing efficiency and reducing risk with Technology, AI and automation in compliance
12:10 - 12:40
Topic: Integrating compliance teams into strategic decision-making across deal execution, fundraising, ESG, and portfolio operations
Lunch
12:40 - 13:40
Luncheon
Peer Insight Interactive Breakout Panels
13:40 - 14:30
Track A: Building Resilient Oversight: Proactive Compliance in the Face of Geopolitical and Market Risk
These dynamic breakout sessions will break the mold of traditional panel discussions by offering our audience the chance to actively engage and share their own experiences at multiple points throughout the conversation. These sessions foster real-time collaboration and insightful exchanges, allowing participants to contribute directly to the discussion and learn from each other’s real-world perspectives.
- How today’s geopolitical instability, supply chain disruption, and liquidity constraints are reshaping market, operational, and reputational risks—and how to ensure these are embedded in your compliance framework
- Strategies for gaining a deep understanding of investment strategies to proactively spot regulatory red flags
- Embedding risk-aware decision-making into compliance policies, procedures, and ongoing monitoring efforts
13:40 - 14:30
Track B: Guarding Data & Meeting New Mandates: The CCO’s Role in Cyber Risk Oversight
These dynamic breakout sessions will break the mold of traditional panel discussions by offering our audience the chance to actively engage and share their own experiences at multiple points throughout the conversation. These sessions foster real-time collaboration and insightful exchanges, allowing participants to contribute directly to the discussion and learn from each other’s real-world perspectives.
- How are you preparing for the upcoming Regulation S-P compliance dates?
- How compliance partners work with CISOs and/or IT to ensure regulatory alignment
- Policies, training, and controls that work across departments
14:40 - 15:30
Track A: Post-PFAR Fee & Expense Transparency: Navigating New Norms with Confidence
These dynamic breakout sessions will break the mold of traditional panel discussions by offering our audience the chance to actively engage and share their own experiences at multiple points throughout the conversation. These sessions foster real-time collaboration and insightful exchanges, allowing participants to contribute directly to the discussion and learn from each other’s real-world perspectives.
- Current landscape for fee and expense disclosures and how it affects quarterly and annual reporting
- Using industry-aligned templates to streamline reporting, enhance consistency, and meet LP expectations (i.e., ILPA template)
- How compliance, finance, and investor relations teams can collaborate to ensure accurate, auditable, and regulator-ready disclosures
14:40 - 15:30
Track B: Co-Investment Governance: Navigating Disclosure, Allocation, and Oversight with Confidence
These dynamic breakout sessions will break the mold of traditional panel discussions by offering our audience the chance to actively engage and share their own experiences at multiple points throughout the conversation. These sessions foster real-time collaboration and insightful exchanges, allowing participants to contribute directly to the discussion and learn from each other’s real-world perspectives.
- Working with IR teams to build defensible governance frameworks, managing conflicts, and maintaining trust with LPs and regulators alike
- Ensuring transparency without over-disclosing or exposing competitive strategies
- Monitoring co-investment activity and reviewing allocation decisions, overseeing conflict escalation and resolution processes
Break
15:30 - 16:00
Networking Break
Panel
16:00 - 16:50
From Good to Great: LP Insights on What Sets Strong Compliance Programs Apart
- Key compliance features and behaviors LPs look for during due diligence and ongoing communications
- What is considered best in class for transparency, governance, responsiveness, and risk alignment
- Red flags and recurring gaps that undermine confidence in a firm’s compliance culture
End of Day One
16:50 - 17:50
Networking Reception
Agenda
Day 2 - Thursday 13th
Registration - Breakfast
08:00 - 09:00
Registration and Breakfast
08:30 - 09:00
Sunrise Solutions
Start your day with breakfast and an opportunity to discover cutting-edge technology solutions that are shaping the future for private fund CCOs. In this unique session, delegates will enjoy a relaxed and engaging atmosphere as they listen to industry leading innovators demonstrate the technology solutions that have proven value to private fund compliance teams.
Think Tanks: GP-only gatherings for candid discussions in a closed-door setting. Join your peers for candid discussions in a closed-door setting, with no media, vendors, or service providers in the room.
09:05 - 10:00
Track A: Think Tank: CCO
Designed to facilitate candid discussion, this closed-door session for CCOs targets the issues and challenges impacting your firm. Attendees can benchmark ideas and share best practices to help you gain solutions for common concerns facing your office. Expect to address the most pressing matters facing CCOs post-PFAR and postelection.
09:05 - 10:00
Track B: Think Tank: Senior Compliance Professionals
Designed to facilitate candid discussion, this closed-door session for CCOs targets the issues and challenges impacting your firm. Attendees can benchmark ideas and share best practices to help you gain solutions for common concerns facing your office. Expect to address the most pressing matters facing CCOs post-PFAR and postelection.
Welcome
10:10 - 10:15
Welcome Remarks
10:15 - 11:05
Fireside Chat or Keynote Panel
Break
11:05 - 11:35
Networking Break
Professional Development Workshops
11:35 - 12:25
Track A: Under Pressure: Thriving Amid Tight Resources and Expanding Mandates
- How to triage tasks, allocate limited resources, and say “no” strategically when necessary
- Practical ways to streamline workflows, leverage automation or RegTech, and build procedures that scale—without sacrificing effectiveness
- Peer Benchmarking: Using data and industry comparisons to justify staffing needs and support resource asks.
- When and how to make the case for headcount or outside support
11:35 - 12:25
Track B: Strategic Communication for CCOs: Storytelling and Leadership in the Modern Compliance Office
Carousel
12:35 - 13:35
Carousel- Preparing for SEC Exams
A hybrid of the roundtable and think tank formats, groups will share best practices in three areas. Each table will report back to the whole group the key practices in one category.
Closing Presentation
13:35 - 13:45
Closing Presentation
Luncheon & End of Conference
13:45 - 14:45
Luncheon & End of Conference
Lead the discussion in 2025
Firms who led the discussion in 2024 include:
- Brookfield Asset Management
- HCI Equity Partners
- KKR
- And more…
Have a topic you would like to discuss at this year’s forum? Contact Kellie Green at kellie.g@pei.group to discuss speaking opportunities.
Matthew Harris
Assistant Director and Co-Head of the Private Funds Unit, U.S. Securities and Exchange Commission
Pre-Event Resources
Connect with a community of CCOs, COOs and senior finance executives
The Private Fund Compliance Forum offers a unique opportunity for providers to engage and connect with senior compliance professionals in the private equity sector through thought leadership, networking, and more.
For more information on available sponsorship opportunities please contact Josh Stoller at joshua.s@pei.group.
2025 Sponsors
Connect and lead with compliance’s brightest minds
Be a part of the largest gathering of compliance leaders in the industry. Over two days you’ll build up your book of contacts while discussing solutions to shared challenges with this expansive community.
Join compliance professionals from 100+ firms as they discuss SEC best practices and how to strategically prepare your firm.
Sessions promoting collaboration
Breakfast meetings and think tanks
Cover critical issues and exchange solutions on curated topics with your peers at our breakfast meetings and GP-only think tanks.
Networking breaks
Catch up with your peers to build your network and discuss session takeaways during the many designated networking breaks.
Workshops
More hands-on than a traditional panel, our workshops start with a 25 minute discussion followed by a 40 minute peer-to-peer workshop.
Participants at a glance
“Great networking opportunities, interesting topics, and fabulous guest speakers.”
Alexandra Maisel, Sun Capital Partners
“One of my go-to events each year due to the timely program content and excellent panelists.
“
Liz Staley, Leerink Capital Partners
2024 attendees included:
Venue
Here is a list of hotel accommodations for easy access to the event.
Thanks for your interest
Thank you for your interest in this year’s Private Fund Compliance Operations Forum.
Your requested resource will be emailed to you shortly.
Explore our event website for more information and be sure to secure your place when ready.
We hope to see you at the forum this November in New York.
Stay ahead of new compliance regulations
Swap strategies for building an effective compliance program through engaging roundtables, think tanks, and collaborative workshops. Learn how to create cybersecurity protocols, fundraising strategies, and training programs tailored to your needs.
Join a community of compliance leaders
Meet with the largest gathering of compliance experts during peer-driven conversations at this year’s forum. You’ll learn how your peers tackle key issues, ensuring your firm stays aligned with industry standards.
Hear what our attendees have to say
“Great networking opportunities, interesting topics, and fabulous guest speakers.” – Alexandra Maisel, Sun Capital Partners
“One of my go-to events each year due to the timely program content and excellent panelists.” – Liz Staley, Leerink Capital Partners
