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.

 

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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.

Hear straight from an SEC examiner

Brian Caravello , SEC headshot

Brian Caravello
Exam Manager, Private Funds Unit
U.S. Securities and Exchange Commission

Join us on day one for an exclusive fireside chat with Brian Caravello as he delves into the SEC’s exam priorities for 2024.

This session will cover:

  • Common misconceptions about the SEC’s focus areas
  • Key trends and recent changes in their approach to exams
  • Issues that are most frequently referred to enforcement
  • How to properly prepare for an exam
  • Key takeaways from recent sweeps

“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

Featured speakers

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2023 attendees included:

ACON Investments
Adams Street Partners
Advent International
Agile Legal
American Family Ventures
American Realty Advisors
Arcline Investment Management
Argand
Aztec Group
Bain Capital Investors
BBAM
Bow River Asset Management
Brightstar Capital Partners
Brookfield
CapitalSouth Partners
Carbon Direct Capital Management
Digital Colony Management
Ethos Capital
FFL Partners
Franklin Park Associates
Fundamental Advisors
General Atlantic
GI Partners
Greylion Capital
HarbourVest Partners
Insight Partners
JMI Management
Kainos Capital
KKR
Kohlberg & Company
Leonard Green & Partners
Levine Leichtman Capital Partners
Lindsay Goldberg
LS Power Development
LW
Marlin Equity Partners
Massachusetts Pension Reserves Investment Management Board
Mission BioCapital
NovaQuest Capital Management
Old Ironsides Energy
Paine Schwartz Partners
Parthenon Capital
Providence Equity Partners
PSG Equity
Revelation Partners
Ridgemont Equity Partners
Roark Capital
Rockbridge Capital
SEC
Siris Capital Group
Sorenson Capital
Southeast Asset Advisors
Star Mountain Capital
Stepstone Conversus
Tailwater Capital
The Vistria Group
Thomas H. Lee Partners
TPG Capital
Trilantic North America
TSG Consumer Partners
TZP Group
US Equity Advisors
UTIMCO
VSS Fund Management
Wellington Management
Whitehorse Liquidity Partners
Wind Point Partners

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…

View the 2024 agenda

Day 1 Day 2
View agenda page

Agenda

Day 1 - Tuesday 19th

Registration - Breakfast
08:00 - 09:00

Registration and Breakfast

Pre-Conference Breakfast Meeting
08:05 - 08:50

Breakfast Meeting

A 15-minute panel discussion followed by a 30-minute interactive conversation between moderator, panelists and audience members.

Bringing along the troops: Communicating and training with employees approaches and processes that work

  • Tailor training and information based on job function
  • Evaluate effectiveness of different formats (e.g., live, recorded, written, in person or hybrid) for different outcomes
  • Maintain ongoing communications with employees
  • Completing training for compliance violations
  • Engagement of senior leaders and establishing the importance of trainings

Tara McCarthy, General Counsel and Chief Compliance Officer, Nitorum Capital

Plenary
09:00 - 09:10

PEI Welcome

Brian Anderson, Senior Conference Producer, PEI Media Group

09:10 - 09:15

Welcome Remarks

09:15 - 10:00

Keynote – Fireside Chat SEC Examination Illumination

Brian Caravello
  • Addressing common misconceptions about what staff are doing
  • Surveying 2024 exam priorities, especially recent trends or changes
  • Identifying issues that are most often referred to enforcement
  • Illuminating what proper and improper proactive preparation looks throughout process
  • Providing the latest key takeaways from sweeps

Brian Caravello, Exam Manager, Private Funds Unit, U.S. Securities and Exchange Commission

A speaker photo for Brian  Caravello

Brian Caravello

Exam Manager, Private Funds Unit, U.S. Securities and Exchange Commission

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Roundtables | Peer-driven conversations, facilitated by two industry leaders. Throughout the session, facilitators will rotate tables every 30 minutes to ensure all delegates discuss each of the three roundtable topics.
10:00 - 11:30

Compliance considerations during fundraising (Large Departments)

Heather Zuzenak
  • Where to go for research and guidance
  • What is your role during fundraise
  • How to review and approve marketing materials
  • Milestones for backwards planning

Heather Zuzenak, Chief Compliance Officer, Advent International

A speaker photo for Heather  Zuzenak

Heather Zuzenak

Chief Compliance Officer, Advent International

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10:00 - 11:30

Protocols and solutions to off-channel communications (Large Departments)

  • What technologies work and don’t work
  • Explore user-friendly systems for maximum adoption and impact
  • Learn why certain protocols work or don’t work
  • What’s the ease of review once assortment records are being maintained accurately and completely
  • Identifying and mitigating risks and how much is enough
  • Discuss nuances of rules (e.g. screen captures)
  • What does compliance do with additional data and does it comply with protocols you have in place already

Facilitator
Bradley West, Chief Operating Officer and General Counsel, Pritzker Private Capital

10:00 - 11:30

Ongoing operations throughout the year that ensure SEC exam readiness (Large Departments)

Jae J. Lee, Michael Henry
  • Get the most out of your mock exams and audits
  • Having the business ready for exam throughout year through continuing monitoring of processes
  • Get compliance buy in from the rest of your firm and ensure they are doing their job
  • Define and observe proactive transparency

Facilitators
Jae Lee, SVP, Internal Audit & Compliance Monitoring, Brookfield Asset Management
Michael Henry, Senior Managing Director, Chief Compliance Officer, Wafra

A speaker photo for Jae J. Lee

Jae J. Lee

Senior Vice President, Internal Audit & Compliance Monitoring, Brookfield Asset Management

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A speaker photo for Michael  Henry

Michael Henry

Senior Managing Director & Chief Compliance Officer, Wafra

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10:00 - 11:30

Compliance considerations during fundraising (Small Departments)

  • Where to go for research and guidance
  • What is your role during fundraise
  • How to review and approve marketing materials
  • Milestones for backwards planning

Facilitator
Jackie Cangero, Counsel, GI Partners

10:00 - 11:30

Protocols and solutions to off-channel communications (Small Departments)

  • What technologies work and don’t work
  • Explore user-friendly systems for maximum adoption and impact
  • Learn why certain protocols work or don’t work
  • What’s the ease of review once assortment records are being maintained accurately and completely
  • Identifying and mitigating risks and how much is enough
  • Discuss nuances of rules (e.g. screen captures)
  • What does compliance do with additional data and does it comply with protocols you have in place already
10:00 - 11:30

Ongoing operations throughout the year that ensure SEC exam readiness (Small Departments)

Michele Reing
  • Get the most out of your mock exams and audits
  • Having the business ready for exam throughout year through continuing monitoring of processes
  • Get compliance buy in from the rest of your firm and ensure they are doing their job
  • Define and observe proactive transparency

Michele Reing, CFO, COO and CCO, Long Range Capital

A speaker photo for Michele Reing

Michele Reing

CFO, COO and CCO, Long Range Capital

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Break
11:30 - 12:00

Networking Break

Plenary
12:00 - 12:50

Set up your compliance department for success

Renata Malavazzi, Lindsay Antoniello
  • Stay abreast of regulatory environment
  • Develop customized policies and procedures
  • Develop a robust training program
  • How to partner with the business
  • Determine how much to use outsourcing vs. in house
  • Emphasizing the importance of networking and partnerships
  • What experience, expertise or credentials, beyond a law degree, are needed to balance out group

Renata Malavazzi, General Counsel and Chief Compliance Officer, Paine Schwartz Partners
Lindsay Antoniello, Managing Director and Deputy Chief Compliance Officer, TPG

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Renata Malavazzi

General Counsel and Chief Compliance Officer, Paine Schwartz Partners

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A speaker photo for Lindsay Antoniello

Lindsay Antoniello

Managing Director and Deputy Chief Compliance Officer, TPG

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12:00 - 12:50

Hear from leaders from other departments on cross-departmental collaboration to manage risk

  • At what point is compliance expected to interact to create timely and efficient interactions ·
  • Breaking down silos and building alignment
  • Where does compliance get it right and where do they get it wrong
  • Common pain points across platforms and how to resolve
  • Designing programs that are practical but provide what SEC needs
  • Development of appropriate committees
  • Training and awareness approaches that work
Lunch
12:50 - 13:50

Luncheon

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.
13:50 - 14:50

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 most pressing matters facing CCOs post PFAR and post election.

13:50 - 14:50

Senior-level professionals

Designed to facilitate candid discussion, this closed-door session for senior compliance professionals 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 most pressing matters facing CCOs post PFAR and post election.

Workshops | These sessions are more interactive than a traditional breakout panel discussion. The sessions begin with a 25-minute panel discussion and are followed by a 40-minute interactive peer-to-peer discussion group. In the final ten minutes group leaders will come back to the panel table to present key takeaways from each small group.
14:50 - 15:55

Build tech-enabled compliance programs and AI

Junaid Subhan, John Jacobs
  • How should you use AI for public facing material
  • Examine criteria and approval process that should be used
  • Explore potential use cases and limitations and possibilities of AI
  • Weigh the pros and cons of creating technological tools in house
  • Discuss how AI may be used to eliminate forensic processes and testing, including NDA reviews
  • Discuss different technologies peers are using or not using and why or why not

Junaid Subhan, Vice President, Legal Affairs and Chief Compliance Officer, Sagard
John Jacobs, Managing Director, Chief Compliance Officer and Deputy General Counsel, Gryphon Investors
Sabina Haq, Chief Compliance Officer, Atalaya Capital Management

A speaker photo for Junaid Subhan

Junaid Subhan

Vice President, Legal Affairs & Chief Compliance Officer, Sagard

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A speaker photo for John Jacobs

John Jacobs

Managing Director, Chief Compliance Officer and Deputy General Counsel, Gryphon Investors

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14:50 - 15:55

Compliance strategies for using third-party technology

  • Defining what you are trying to accomplish
  • How to identify and familiarize yourself with the third-party technology landscape
  • What does your vendor management plan look like
  • Assess/review security environment of tools
  • Address issues related to adoption (ease of use, relevance)
  • Evaluate cost/benefit of using technology
Break
15:55 - 16:25

Networking

Plenary
16:25 - 17:15

Hone your annual review process and testing strategies

  • Areas of focus among compliance teams
  • Frequency and scope of testing
  • Engagement of third-party consultants
  • Timing, completion and documentation of annual reviews
  • Best practices for your annual review
16:25 - 17:15

Wearing multiple hats

Lisa Costello, Eve Mongiardo, Michael Altschuler
  • Learn what other hats are peers wearing (IT, ESG, Office Admin, CFO)
  • Keep compliance issues in the foreground
  • Streamline and manage multiple projects/tasks with technology that works for you
  • Opportunities and resources to keep abreast of trends and developments

Panelists
Lisa Costello, CAO, CCO & Managing Director, HCI Equity Partners
Eve Mongiardo, Chief Financial Officer, Blue Wolf Capital Partners
Michael Altschuler, General Counsel, Comvest Partners

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Lisa Costello

CAO, CCO & Managing Director, HCI Equity Partners

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A speaker photo for Eve Mongiardo

Eve Mongiardo

Chief Financial Officer Blue Wolf Capital Partners

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A speaker photo for Michael Altschuler

Michael Altschuler

General Counsel, Comvest Partners

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17:15 - 18:00

LP Panel: LPs share their perspective on their view of what makes a good compliance program

  • What do they like to see in a compliance program during due diligence
  • What are common areas of deficiencies
  • What are best practices in compliance programs
End of Day One
18:00 - 19:00

Networking Reception

Agenda

Day Two - Wednesday 20th

Registration - Breakfast
08:00 - 09:00

Registration and Breakfast

Breakfast Meetings | 15-minute panel discussions followed by a 30-minute interactive conversation between moderator, panelists and audience members.
08:10 - 08:55

Breakfast Meeting A: Firmwide risk-management strategies

Adan Araujo
  • Distinguish between compliance risks and risks that are operational Assessment and re-assessment of key vendors
  • Create and evaluate processes and policies to mitigate risks
  • Hear common risks associated with different risk types
  • Determine which safeguards to prioritize and when and how to implement them
  • Best practices for post-PFAR and post-election (what to expect from federal government)

Panelist
Adan Araujo, Senior Managing Director and Chief Compliance Officer, Jasper Ridge Partners

A speaker photo for Adan Araujo

Adan Araujo

Senior Managing Director and Chief Compliance Officer, Jasper Ridge Partners

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08:10 - 08:55

GP-Only Breakfast Meeting B: Technology potluck: Peer-to-Peer reviews of technological tools and service providers

Nate Saint Victor
  • Comprehensive compliance software
  • Discuss tracking LPA, side letters, and political contributions
  • IR systems and modules, including marketing materials
  • Third-party software monitoring
  • Vendors for off-channel communications

Moderator
Nate Saint Victor, General Counsel, Chief Compliance Officer, Engine No. 1

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Nate Saint Victor

General Counsel, Chief Compliance Officer, Engine No. 1

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Plenary
08:55 - 09:00

Opening Remarks

Workshops | These sessions are more interactive than a traditional breakout panel discussion. The sessions begin with a 25-minute panel discussion and are followed by a 40-minute interactive peer-to-peer discussion group. In the final ten minutes group leaders will come back to the panel table to present key takeaways from each small group.
09:00 - 10:15

Workshop A: Prepare for your exam and how to conduct your firm

Leigh Rovzar
  • Determine exam team composition and who is in the room
  • Trends in referrals to enforcement and how to avoid it
  • Hear lessons learned from sweeps
  • What procedures should you have in place

Panelist
Leigh Rovzar, Partner, General Counsel and Chief Compliance Officer, BayPine LP and Declaration Partners LP

A speaker photo for Leigh Rovzar

Leigh Rovzar

Partner, General Counsel & Chief Compliance Officer, BayPine and Declaration Partners

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09:00 - 10:15

Determining to use compliance consultants and other third parties

Adam Freedman, Letti de Little, Devin Holden
  • Questions to ask consultants when vetting/selecting and red flags to watch for
  • Questions to ask yourself when determining what level of outsourcing you want
  • Pros and cons of using regulatory arm of law firm vs using an independent consultant
  • Strategies for supervising consultants
  • Benefits and challenges related to off-shoring

Adam Freedman, Managing Director, Chief Compliance Officer, Harbourvest
Letti de Little, Chief Compliance Officer, Grain Management
Devin Holden, Chief Compliance Officer, NovaQuest Capital Management

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Adam Freedman

Managing Director & Chief Compliance Officer, HarbourVest Partners

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A speaker photo for Letti de Little

Letti de Little

Chief Compliance Officer, Grain Management

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A speaker photo for Devin Holden

Devin Holden

Chief Compliance Officer, NovaQuest Capital Management

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Break
10:15 - 10:45

Networking Break

Plenary
10:45 - 11:30

Keynote

Carousel- Efficiencies, best practices and hacks
11:30 - 12:40

Carousel

Brian Anderson

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.

Processes

People

Technology/Data Management

Brian Anderson, Senior Conference Producer, PEI Media Group

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Brian Anderson

Senior Conference Producer, Private Equity International

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Plenary
12:40 - 13:30

Cybersecurity protocols that minimize risk

Giulianna Ruiz, Teresa Bernstein
  • Hear lessons learned from conducting pen testing and tabletop exercises ·
  • Establish live and recorded trainings that bolster security ·
  • Review impactful technological tools ·
  • Increase awareness and get buy in from board and other stakeholders ·
  • Most critical procedures that you should have in place ·
  • Working in concert with CTO ·
  • Balance safeguards with the needs of company to work efficiently

Giulianna Ruiz, Partner, General Counsel and Chief Compliance Officer, Trilantic North America
Teresa Bernstein, Chief Operating Officer, General Counsel and CCO, ACON Investments

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Giulianna Ruiz

General Counsel and Chief Compliance Officer, Trilantic North America

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A speaker photo for Teresa Bernstein

Teresa Bernstein

Chief Operating Officer, General Counsel, and Chief Compliance Officer, ACON Investments

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Lunch
13:30 - 14:30

Luncheon

Lead the discussion in 2024

Firms leading 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 Brian Anderson at brian.a@pei.group to discuss speaking opportunities.

Michael Altschuler

General Counsel, Comvest Partners

Brian Anderson

Senior Conference Producer, Private Equity International

Lindsay Antoniello

Managing Director and Deputy Chief Compliance Officer, TPG

Adan Araujo

Senior Managing Director and Chief Compliance Officer, Jasper Ridge Partners

Teresa Bernstein

Chief Operating Officer, General Counsel, and Chief Compliance Officer, ACON Investments

Jacqueline Cangero

Counsel, GI Partners

Brian Caravello

Exam Manager, Private Funds Unit, U.S. Securities and Exchange Commission

Lisa Costello

CAO, CCO & Managing Director, HCI Equity Partners

Letti de Little

Chief Compliance Officer, Grain Management

Adam Freedman

Managing Director & Chief Compliance Officer, HarbourVest Partners

Michael Henry

Senior Managing Director & Chief Compliance Officer, Wafra

Devin Holden

Chief Compliance Officer, NovaQuest Capital Management

John Jacobs

Managing Director, Chief Compliance Officer and Deputy General Counsel, Gryphon Investors

Jae J. Lee

Senior Vice President, Internal Audit & Compliance Monitoring, Brookfield Asset Management

Renata Malavazzi

General Counsel and Chief Compliance Officer, Paine Schwartz Partners

Eve Mongiardo

Chief Financial Officer Blue Wolf Capital Partners

Michele Reing

CFO, COO and CCO, Long Range Capital

Leigh Rovzar

Partner, General Counsel & Chief Compliance Officer, BayPine and Declaration Partners

Giulianna Ruiz

General Counsel and Chief Compliance Officer, Trilantic North America

Nate Saint Victor

General Counsel, Chief Compliance Officer, Engine No. 1

Junaid Subhan

Vice President, Legal Affairs & Chief Compliance Officer, Sagard

Brad West

Partner, Chief Operating Officer and General Counsel, Pritzker Private Capital

Heather Zuzenak

Chief Compliance Officer, Advent International

Pre-Event Resources

Connect with a community of CFOs, 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 exclusive sponsorship packages for 2024, contact Josh Stoller at joshua.s@pei.group or call +1 646 970 3923.

2024 Sponsors

Make essential connections

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.

Last year compliance professionals from 150+ firms discussed everything coming from the SEC and how to best prepare their firm.

See who attended in 2023

Sessions promoting collaboration

think tank

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 break

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

“Great networking opportunities, interesting topics, and fabulous guest speakers.

Alexandra Maisel, Sun Capital Partners

2023 attendees included:

Adams Street Partners
Bain Capital Investors
CapitalSouth Partners
FFL Partners
General Atlantic
HarbourVest Partners
JMI Management
KKR
Marlin Equity Partners
Paine SChwartz Partners
Revelation Partners
Siris Capital Group
Thomas H. Lee Partners
U.S. Equity Advisors
Whitehorse Liquidity Partners

Advisory Board

Mary Anne Capo

CFO & CCO, CapStreet Group

Teresa Bernstein

Chief Operating Officer, General Counsel, and Chief Compliance Officer, ACON Investments

Lisa Costello

CAO, CCO & Managing Director, HCI Equity Partners

Eric DiFiore

Chief Compliance Officer, TZP Group

Jacqueline Giammarco

Managing Director & Chief Compliance Officer, Stone Point Capital

Gregory Hegerich

Head of Compliance, North America Private Investments & Real Estate, Bain Capital

Steven Spencer

Partner, Chief Legal Officer and Chief Compliance Officer, Siris Capital Group, LLC