Private Funds
CFO
CFO
Private Fund Compliance Operations Forum
November 12-13, 2025
Convene, 360 Madison Avenue, New York
Build playbooks that drive results
Understanding policy is just the beginning. 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 on track.
With redesigned roundtables, a tech demo, and GP-only think tanks, you’ll explore how to turn regulatory expectations into clear, effective compliance practices.
For a limited time, save $600+ 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
Meet the 2025 keynote speaker:
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
Why attend the Regulatory and Operations Forum?
From policy comprehension to operational execution
The Private Fund Compliance Regulatory Forum
- Master the rules to ensure your firm remains compliant
- Stay ahead of enforcement trends to mitigate risk
- Hear directly from policymakers to drive smarter decisions
The Private Fund Compliance Operations Forum
- Apply the rules through practical workflows
- Exchange best practices with peers to solve shared challenges
- Leverage tech to automate and future-proof compliance processes
Together, they give you the “rulebook” and the “playbook”
Your opportunity to prepare for regulatory change and act with clarity, speed, and confidence.
“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
Featured speakers
Attendees include:
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 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
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
09:50 - 10:40
From policy to practice: operationalizing today’s most critical compliance rules
- 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
10:40 - 11:00
Networking break
Roundtable Discussions
11:00 - 12:40
Topic 1: Overcoming data fragmentation and streamlining regulatory and LP reporting
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
11:00 - 12:40
Topic 2: Enhancing efficiency and reducing risk with technology, AI and automation in compliance
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:
11:00 - 12:40
Topic: 3: Integrating compliance teams into strategic decision-making across deal execution, fundraising, ESG, and portfolio operations
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
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
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
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.
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 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.
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 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:
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
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.
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
