Build playbooks that drive results

This event is about putting SEC rules into practice across your firm’s systems, workflows, and daily decisions.

Over two days, you’ll gain clarity on what’s changing, how peers are responding, and what your team needs to stay compliant and on track.

Through GP-only think tanks, you’ll explore how to turn regulatory expectations into effective compliance practices.

For a limited time, save $400+ on your ticket

 

“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 & Company, L.L.C

 

See who’s speaking this year

Meet the 2025 keynote speaker:

Matthew Harris Headshot

Matthew Harris, Assistant Director and Co-Head of the Private Funds Unit, U.S. Securities and Exchange Commission 

Hear directly from a senior SEC official on how to:

  • Identify high-risk operational areas before they become enforcement issues
  • Align your firm’s compliance programs with the SEC’s current priorities
  • Strengthen your reporting and disclosures to meet evolving expectations

Explore the agenda

“One of my go-to events each year due to the timely program content and excellent panelists.”

Liz Staley, Leerink Capital Partners

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

Alexandra Maisel, Sun Capital Partners

 

Networking opportunities

 

Featured speakers

View all speakers
View all speakers

Attendees include:

Ares Management
Apollo Global Management Inc.
Argand Equity
Crestview Advisors
GI Partners
GreyLion Partners LP
Grounded Capital
Integrity Growth Partners
Providence Equity Partners
Star Mountain Capital
TowerBrook Capital Partners
U.S. Securities and Exchange Commission
VSS Capital Partners
WaterEquity

Deepen your expertise across every function

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 prepare
  • Turning new rules into practical workflows that hold up under scrutiny
  • Embedding compliance into marketing, AML, and valuations workflows
  • Streamlining reporting and oversight with AI and automation
  • 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 the full agenda

Day 1 Day 2
View agenda page

Agenda

Day 1 - Wednesday 12th

08:00 - 08:50

Registration & breakfast

Plenary
08:50 - 09:05

Chairperson’s welcome

09:05 - 09:50

Keynote Interview: 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.

Keynote: Matthew Harris, CFA, Assistant Director and Co-Head of the Private Funds Unit, U.S. Securities and Exchange Commission
Interviewer: Nabil Sabki, Partner- Investment Funds Practice Group, Kirkland & Ellis

A speaker photo for Matthew Harris

Matthew Harris

Assistant Director and Co-Head of the Private Funds Unit, U.S. Securities and Exchange Commission

Read bio
09:50 - 10:40

From policy to practice: operationalizing today’s most critical compliance rules

Jacqueline Cangero, Kwadwo Osei
  • Proven approaches to embedding key rules into day-to-day workflows
    • Marketing Rule
    • 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

Panelists:
Jackie Cangero, Counsel (Real Estate & Corporate), GI Partners
Kwadwo Osei, Vice President of Finance and Chief Compliance Officer, Integrity Growth

A speaker photo for Jacqueline Cangero

Jacqueline Cangero

Counsel, GI Partners

Read bio
A speaker photo for Kwadwo Osei

Kwadwo Osei

Principal, CFO, and CCO, Integrity Growth Partners

Read bio
10:40 - 11:00

Networking break

Roundtable Discussions
11:00 - 12:40

Topic 1: Overcoming data fragmentation and streamlining regulatory and LP reporting

Jacqueline Jacobs, Haris Vrahliotis, Nauman Malik, Chris Brannan

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.

Group A Facilitator: 
Jacqueline Jacobs, Chief Compliance Officer, VSS

Group B Facilitator: 
Haris Vrahliotis, Principal, Compliance Director and Counsel, TowerBrook Capital Partners

Group C Facilitator: 
Nauman Malik, General Counsel, Eagle Point Credit

Group D Facilitator: 
Christopher Brannan, Assistant General Counsel and ESG Officer, Pritzker Private Capital

A speaker photo for Jacqueline Jacobs

Jacqueline Jacobs

Chief Compliance Officer, VSS

Read bio
A speaker photo for Haris Vrahliotis

Haris Vrahliotis

Principal, Compliance Director and Counsel, TowerBrook Capital Partners

Read bio
A speaker photo for Nauman Malik

Nauman Malik

General Counsel, Eagle Point Credit Management

Read bio
A speaker photo for Chris Brannan

Chris Brannan

Assistant General Counsel & ESG Officer, Pritzker Private Capital

Read bio
11:00 - 12:40

Topic 2: Enhancing efficiency and reducing risk with technology, AI and automation in compliance

Austin Ericson, Allison Miyake

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.

Group A Facilitator: 
Austin Ericson, Legal Counsel and Chief Compliance Officer, Star Mountain Capital

Group B Facilitator: 
Allison Miyake, Controller & Chief Compliance Officer, Velocity Capital Management

Group C Facilitator: 

Group D Facilitator: 

A speaker photo for Austin Ericson

Austin Ericson

General Counsel and Chief Compliance Officer, Star Mountain Capital

Read bio
A speaker photo for Allison Miyake

Allison Miyake

Controller and CCO, Velocity Capital Management

Read bio
11:00 - 12:40

Topic: 3: Integrating compliance teams into strategic decision-making across deal execution, fundraising, ESG, and portfolio operations

Ellen Rosenberg, Jesse Knapel, Samantha Katz, Jennifer Ciresi

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.

Group A Facilitator: 
Ellen Rosenberg, Partner, General Counsel & Chief Compliance Officer, GreyLion Partners

Group B Facilitator: 
Jesse Knapel, CFO & CCO, Prelude Growth Partners

Group C Facilitator: 
Samantha Katz, General Counsel and Chief Compliance Officer, Argand Equity

Group D Facilitator: 
Jennifer Ciresi, General Counsel and Chief Compliance Officer, Grounded Capital

 

A speaker photo for Ellen Rosenberg

Ellen Rosenberg

Partner, General Counsel & Chief Compliance Officer, GreyLion Partners LP

Read bio
A speaker photo for Jesse Knapel

Jesse Knapel

CFO & CCO, Prelude Growth Partners

Read bio
A speaker photo for Samantha Katz

Samantha Katz

General Counsel & Chief Compliance Officer, Argand Equity

Read bio
A speaker photo for Jennifer Ciresi

Jennifer Ciresi

General Counsel and Chief Compliance Officer, Grounded Capital

Read bio
12:40 - 13:40

Networking luncheon

Peer Insight Interactive Breakout Panels
13:40 - 14:30

Track A: Frameworks that endure regulatory pressure: future-proofing AML/KYC compliance infrastructure

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.

  • Embedding AML/KYC responsibilities across business units, ensuring front-line accountability
  • Navigating AML/KYC requirements (FinCEN & global) while maintaining centralized oversight and operational consistency
  • Preparing for scrutiny – audit readiness, effective SAR governance, risk scoring models, and demonstrating program effectiveness under examination
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 - 03:30

Track A: Post-PFAR fee & expense transparency: implementing standards, meeting expectations

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 - 03:30

Track B: Co-Investment governance: navigating disclosure, allocation, and oversight with confidence

Noah Leichtling

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

Panelists:
Noah Leichtling, Partner, General Counsel, Gamut Capital

A speaker photo for Noah Leichtling

Noah Leichtling

Partner, General Counsel

Read bio
15:30 - 16:00

Networking break

16:00 - 16:50

From good to great: LP insights on what sets strong compliance programs apart

  • Key compliance features and behaviours 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 1
16:50 - 17:50

Networking reception

Agenda

Day 2 - Thursday 13th

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
09:05 - 10:00

Think Tank A (GP only): Chief Compliance Officers

Designed to facilitate candid discussions, these GP only closed-door sessions target the issues and challenges impacting firms. Attendees can benchmark ideas and share best practices to help you gain solutions for common concerns facing your office

09:05 - 10:00

Think Tank B (GP only): Senior Compliance Professionals

Designed to facilitate candid discussions, these GP only closed-door sessions target the issues and challenges impacting firms. Attendees can benchmark ideas and share best practices to help you gain solutions for common concerns facing your office.

Plenary
10:10 - 10:15

Welcome remarks

10:15 - 11:05

Keynote

11:05 - 11:35

Networking break

11:35 - 12:25

Professional Development Workshop 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
11:35 - 12:25

Professional Development Workshop B: Strategic Communication for CCOs: Storytelling and Leadership in the Modern Compliance Office

  • Communicating complex risk issues in clear, compelling language
  • Use real-world storytelling and open communication to embed compliance into daily decision-making.
  • Mentoring junior compliance staff
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.

Ongoing Readiness

Onsite Interviews & Reviews

Post Exam

 

13:35 - 13:45

Closing presentation

Brought to you by PEI Group’s research and analytics team, we will unveil new survey findings on the top issues and opportunities shaping the work of private fund compliance professionals today

End of conference
13:45 - 14:45

Luncheon

Lead the discussion in 2025

Firms leading the discussion in 2025 include:

  • Argand Equity
  • Crestview Advisors
  • GI Partners
  • TowerBrook Capital Partners
  • 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 the 2024 attendee list

Brian Andruskiewicz

Chief Financial Officer and Chief Compliance Officer, Grant Avenue Capital

Chris Brannan

Assistant General Counsel & ESG Officer, Pritzker Private Capital

Jacqueline Cangero

Counsel, GI Partners

Jennifer Ciresi

General Counsel and Chief Compliance Officer, Grounded Capital

Anna Dayn

Managing Director, New End

Austin Ericson

General Counsel and Chief Compliance Officer, Star Mountain Capital

Tamar Goldstein

General Counsel & Chief Compliance Officer, Kimmeridge

Matthew Harris

Assistant Director and Co-Head of the Private Funds Unit, U.S. Securities and Exchange Commission

Jacqueline Jacobs

Chief Compliance Officer, VSS

Samantha Katz

General Counsel & Chief Compliance Officer, Argand Equity

Jesse Knapel

CFO & CCO, Prelude Growth Partners

Eric Lazear

Deputy COO, Head of Operational Risk Due Diligence, Titan Advisors

Noah Leichtling

Partner, General Counsel, Gamut Capital

Jennifer Lin

Chief Compliance Officer, Fundamental Advisors

Nauman Malik

General Counsel, Eagle Point Credit Management

Pooja Mantha

Chief Compliance Officer, Crestview Advisors

Katy McNeil

Vice President, Compliance, Ares Management

Tye Merlo

Chief Compliance Officer, Delphi Ventures

Marie Milligan

Chief Compliance Officer, WaterEquity

Allison Miyake

Controller and CCO, Velocity Capital Management

Erin Nelson

Regional Head Compliance, Americas, Partners Group

Eric Newman

Treasury Manager, City of Stamford, Connecticut

Kwadwo Osei

Principal, CFO, and CCO, Integrity Growth Partners

Ellen Rosenberg

Partner, General Counsel & Chief Compliance Officer, GreyLion Partners LP

Arthi Sridharan

Deputy General Counsel, Providence Equity Partners

Stefanie Sundel

Managing Director, Head of Compliance (Americas), Apollo Global Management Inc.

Chris Tamms

Network Director, Peer-to-Peer Memberships, PEI Group

Devi Vairavan

Chief Compliance Officer, WM Partners

Megan Vesely

Associate General Counsel & Chief Compliance Officer , Georgian

Haris Vrahliotis

Principal, Compliance Director and Counsel, TowerBrook Capital Partners

Kenneth Warren

Chief Financial Officer & Chief Compliance Officer, Littlejohn

Pre-Event Resources

Connect with a community of CCOs, COOs and CFOs

Position your firm as a trusted resource and engage with compliance leaders shaping the future of private markets.

As a partner of the Private Funds CFO Network, you’ll have the opportunity to:

  • Showcase your thought-leadership
  • Host curated networking experiences designed around your business goals
  • Strengthen your presence with brand visibility across the Network Hub

For more information on available sponsorship and partnership 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.

Register today

Think tanks (GP-only)

These small-group sessions are designed for open, honest conversations among GPs. You’ll walk away with fresh solutions you can apply in your own firm.

Think Tank A: Chief compliance officers
Share experiences, compare approaches, and explore how others are navigating today’s regulatory demands.

Think Tank B: Senior compliance professionals
Talk through day-to-day hurdles, explore what’s working, and gather new ideas to bring back to your teams.

Collaborative opportunities

Luncheons

Networking break

Networking breaks

Interactive breakouts

Renewed roundtable discussions

Take part in three 30-minute, peer-led discussions, rotating between small groups to explore each of the following topics:

Topic 1: Data fragmentation and streamlining regulatory and LP reporting

Topic 2: Reducing risk with technology, AI and automation in compliance

Topic: 3: Integrating compliance teams into strategic decision-making across deal execution, fundraising, ESG, and portfolio operations

Participants at a glance


Carousel

Groups will explore best practices across three key stages of the SEC exam process. Each table will focus on one area and share their insights with the larger group.

Focus Areas:

1. Ongoing Readiness

2. Onsite Interviews & Reviews

3. Post-Exam

“A collegial and collaborative environment where senior leadership can share the challenges they face.” – Aaron Chan, CFO, Enlightened Hospita…
Read full testimonial

Attendees include:

ACON Investments
Altamont Capital Management
Bain Capital
Carlyle Aviation Partners
Cerberus Capital Management
Dawson Partners
Engine No. 1
FFL Partners
Generate Capital
GI Partners
Haveli Investments
Jasper Ridge Partners
KKR & Co
KSV Global Innovations
LLR Partners
LongRange Capital
Merit Energy Company
NovaQuest Capital Management
ORIX USA
Paine Schwartz Partners
Ridgemont Equity Partners
Sagard Holdings
TPG Capital
Trilantic Capital Management
U.S. Securities and Exchange Commission
Vestar Capital Partners
Wafra

 

Book now

 

Venue

Convene
360 Madison Avenue
New York, NY 10017

Main entrance on 45th street

View the venue

Here is a list of hotel accommodations for easy access to the event.

Book a room

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.

event attendees in a roundtable session

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

Thank you for your interest

Thank you for your interest in partnership and sponsorship opportunities at this year’s Private Fund Compliance Operations Forum.

The resource you requested will be sent to your email shortly. In the meantime, explore our event website for more information.

A member of our team will be in touch with you soon. 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.

event attendees in a roundtable session

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.

speakers during a panel discussion at last year's forum

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

speakers at last year's forum