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.

 

Hear from compliance experts this November

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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.

Featured speakers

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View all speakers

2024 attendees include:

ACON Investments
Altamont Capital Management
Bain Capital
Brookfield Asset Management
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

“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…

View the 2024 agenda

Day 1 Day 2
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Agenda

Day 1 - Tuesday 19th

Registration - Breakfast
08:00 - 09:00

Registration and Breakfast

Pre-Conference Breakfast Meeting
08:00 - 08:50

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

Teresa Bernstein, Tara McCarthy, Jemima John, Jason Scoffield, Daren Schneider

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

  • 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

Moderator
Teresa Bernstein, Chief Operating Officer, General Counsel, and Chief Compliance Officer, ACON Investments

Panelists
Tara McCarthy, General Counsel and Chief Compliance Officer, Nitorum Capital
Jemima John, VP, Compliance, Shamrock Capital
Jason Scoffield, Chief Compliance Officer, Audax Group
Daren Schneider, CFO and CCO, JLL Partners

A speaker photo for Teresa Bernstein

Teresa Bernstein

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

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A speaker photo for Tara McCarthy

Tara McCarthy

General Counsel & Chief Compliance Officer, Nitorum Capital, L.P.

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A speaker photo for Jemima John

Jemima John

VP, Compliance, Shamrock Capital

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A speaker photo for Jason  Scoffield

Jason Scoffield

Chief Compliance Officer, Audax Management Company

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A speaker photo for Daren Schneider

Daren Schneider

CFO & CCO, JLL Partners, LLC

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Plenary
08:50 - 09:00

PEI Welcome

Brian Anderson

Brian Anderson, Senior Conference Producer, Private Equity International

A speaker photo for Brian Anderson

Brian Anderson

Senior Conference Producer, Private Equity International

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09:00 - 09:05

Welcome Remarks

Bruce Karpati, Joann Harris

Bruce Karpati, Partner, Global Chief Compliance Officer, KKR
Joann Harris, Firm Partner and Chief Compliance Officer, TPG

A speaker photo for Bruce Karpati

Bruce Karpati

Partner, Global Chief Compliance Officer, KKR

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A speaker photo for Joann Harris

Joann Harris

Firm Partner and Chief Compliance Officer, TPG

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09:05 - 09:55

Keynote – Fireside Chat SEC Examination Illumination

Aaron Gilbride, Arjuman Sultana
  • Addressing common misconceptions about what staff are doing
  • Surveying 2025 exam priorities, especially recent trends and 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

Moderator
Aaron Gilbride, Partner, Latham & Watkins

Keynote
Arjuman Sultana, Assistant Regional Director of the New York Regional Office’s Investment Adviser/Investment Company Program, U.S. Securities and Exchange Commission

A speaker photo for Aaron Gilbride

Aaron Gilbride

Partner, Latham & Watkins

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A speaker photo for Arjuman Sultana

Arjuman Sultana

Assistant Regional Director, New York Regional Office’s IA/IC Program, 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.
09:55 - 11:35

Compliance considerations during fundraising (Large Departments)

Nicole Krea, Jennifer (Jenn) McGoey
  • Where to go for research and guidance
  • What is your role during fundraise
  • How to ensure compliance with marketing rules
  • Milestones for backwards planning

Facilitators
Nicole Krea, Partner, Ropes & Gray
Jenn McGoey, Chief Compliance Officer, Dawson Partners

A speaker photo for Nicole Krea

Nicole Krea

Partner, Ropes & Gray LLP

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A speaker photo for Jennifer (Jenn) McGoey

Jennifer (Jenn) McGoey

Chief Compliance Officer, Dawson Partners

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09:55 - 11:35

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

Brad West, Cheyenne Ehrlich
  • 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
Cheyenne Ehrlich, Chairman & CTO, Firmscribe

A speaker photo for Brad West

Brad West

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

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A speaker photo for Cheyenne Ehrlich

Cheyenne Ehrlich

Chairman & CTO, FirmScribe

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09:55 - 11:35

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

Michael Henry, Joel Wattenbarger
  • Get the most out of your mock exams and audits
  • Having the business ready for exam throughout the 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
  • Impact of 2025 SEC exam priorities

Facilitators
Michael Henry, Senior Managing Director, Chief Compliance Officer, Wafra
Joel Wattenbarger, Partner, Ropes & Gray

A speaker photo for Michael  Henry

Michael Henry

Senior Managing Director & Chief Compliance Officer, Wafra

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A speaker photo for Joel Wattenbarger

Joel Wattenbarger

Partner, Ropes & Gray LLP

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09:55 - 11:35

Compliance considerations during fundraising (Small Departments)

Jacqueline Cangero, Bart McDonald
  • Where to go for research and guidance
  • What is your role during fundraise
  • How to ensure compliance with marketing rules
  • Milestones for backwards planning

Facilitator
Jackie Cangero, Counsel, GI Partners
Bart McDonald, Executive Vice President and COO, Renaissance Regulatory Systems

A speaker photo for Jacqueline Cangero

Jacqueline Cangero

Counsel, GI Partners

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A speaker photo for Bart McDonald

Bart McDonald

Executive VP and COO, Renaissance Regulatory Services

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09:55 - 11:35

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

Vivian Hadis, Jordan Richardson
  • 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

Facilitators
Vivian Hadis, General Counsel & Chief Compliance Officer, Odyssey Investment Partners
Jordan Richardson, CEO, Firmscribe

A speaker photo for Vivian Hadis

Vivian Hadis

General Counsel & Chief Compliance Officer, Odyssey Investment Partners

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A speaker photo for Jordan Richardson

Jordan Richardson

CEO, FirmScribe

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09:55 - 11:35

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

Michele Reing, Nha-Uyen Hua
  • 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
  • Impact of 2025 SEC exam priorities

Michele Reing, CFO, COO and CCO, Long Range Capital
Nha-Uyen Hua, Compliance Director, Carlyle

A speaker photo for Michele Reing

Michele Reing

CFO, COO and CCO, Long Range Capital

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A speaker photo for Nha-Uyen Hua

Nha-Uyen Hua

Compliance Director, Carlyle

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Break
11:35 - 12:00

Networking Break

Breakouts
12:00 - 12:50

Set up your compliance department for success

Eric Perelman, Renata Malavazzi, Lindsay Antoniello, Karen Hager, Andrea Colabella
  • 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

Moderator
Eric Perelman, Corporate Partner, Investment Funds Practice Group, Kirkland & Ellis

Panelists
Renata Malavazzi, General Counsel and Chief Compliance Officer, Paine Schwartz Partners
Lindsay Antoniello, Managing Director and Deputy Chief Compliance Officer, TPG
Karen Hager, CCO, Blue Owl Capital
Mark Happe, Managing Director, CCO, MAI Capital Management
Andrea Colabella, Principal & Executive Recruiter, Cardea Group

A speaker photo for Eric Perelman

Eric Perelman

Corporate Partner, Investment Funds Practice Group, Kirkland & Ellis

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A speaker photo for Renata Malavazzi

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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A speaker photo for Karen Hager

Karen Hager

CCO, Blue Owl Capital

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A speaker photo for Andrea Colabella

Andrea Colabella

Founder & Principal, Cardea Group

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12:00 - 12:50

Cross-department collaboration to manage risk at your firms

Ashleigh Brogan, Joshua Cherry-Seto, Mary Catherine Manin, Eric Feldman, Sherwyn Williams
  • At what point is compliance expected to interact to create timely and efficient interactions
  • Where does compliance get it right and where do they get it wrong
  • Break down silos to mitigate pain points
  • Designing programs that are practical but provide what SEC needs
  • Development of appropriate committees
  • Training and awareness approaches that work

Moderator
Ashleigh Brogan, Chief Compliance Officer, Declaration Partners

Panelists
Joshua Cherry-Seto, Partner and CFO, StartUp Health
Mary Catherine Manin, Managing Director and Head of Investor Relations, Stone Point Capital
Eric Feldman, Chief Information Officer, The Riverside Company
Sherwyn Williams, Head of IT and Cybersecurity, Siris Capital Group

A speaker photo for Ashleigh  Brogan

Ashleigh Brogan

Chief Compliance Officer, Declaration Partners LP

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Joshua Cherry-Seto, Blue Wolf Capital

Joshua Cherry-Seto

Partner and Chief Financial Officer, StartUp Health

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Mary Manin Stone Point Capital

Mary Catherine Manin

Managing Director and Head of Marketing & Investor Relations, Stone Point Capital

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Eric Feldman

Eric Feldman

Chief Information Officer, The Riverside Company

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A speaker photo for Sherwyn Williams

Sherwyn Williams

Head of IT & Cybersecurity, SIRIS Capital

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Lunch
12:50 - 13:40

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.
13:40 - 14:35

CCO

Martha Mensoian, Michelle Vaughn

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.

Facilitators
Martha Mensoian, General Counsel and CCO, Ethos Capital 
Michelle Vaughn, Chief Compliance Officer, Lubert-Adler

A speaker photo for Martha Mensoian

Martha Mensoian

General Counsel & Chief Compliance Officer, Ethos Capital

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A speaker photo for Michelle Vaughn

Michelle Vaughn

Chief Compliance Officer, Lubert Adler

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13:40 - 14:35

Senior-level professionals

Gregory Hegerich

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.

Facilitators
Greg Hegerich, Head of Compliance, North American Private Markets, Bain Capital

A speaker photo for Gregory Hegerich

Gregory Hegerich

Head of Compliance, North American Private Markets, Bain Capital

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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 35-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.
14:35 - 15:40

Build tech-enabled compliance programs and AI

Brian Rooder, Junaid Subhan, Sabina Haq
  • 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 policies and procedures to administer policy to review that this work has been checked
  • What “claimed” uses of AI are the SEC most concerned about
  • 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

Moderator
Brian Rooder, Chief Compliance Officer & Counsel, Stone Point Credit

Panelist
Junaid Subhan, Vice President, Legal Affairs and Chief Compliance Officer, Sagard
Sabina Haq, CCO/Senior Counsel, Sandbrook Capital
Whitney Vermeulen, Compliance Officer, Wellington Management

A speaker photo for Brian Rooder

Brian Rooder

Chief Compliance Officer & Counsel, Stone Point Credit

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A speaker photo for Junaid Subhan

Junaid Subhan

Vice President, Legal Affairs & Chief Compliance Officer, Sagard

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A speaker photo for Sabina Haq

Sabina Haq

CCO/Senior Counsel, Sandbrook Capital

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14:35 - 15:40

Compliance strategies for using third-party technology

Ross Goffi, Kevin Rooney, Haris Vrahliotis, James Gaven, Sarah Christensen
  • 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

Moderator
Ross Goffi, Chief Compliance Officer, ParkerGale Capital

Panelists
Kevin Rooney, Managing Director, Cerberus Capital Management
Haris Vrahliotis, Compliance Director, Towerbrook Capital Partners
James Gaven, General Counsel & CCO, SK Capital Partners
Sarah Christensen, Deputy CCO, Bow River Capital
Charles Steerman, Co-founder and COO, Skematic

A speaker photo for Ross Goffi

Ross Goffi

Chief Compliance Officer, ParkerGale

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A speaker photo for Kevin Rooney

Kevin Rooney

Managing Director, Senior Compliance Officer, and Associate General Counsel, Cerberus Capital Management

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A speaker photo for Haris Vrahliotis

Haris Vrahliotis

Compliance Director, TowerBrook Capital Partners

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A speaker photo for James Gaven

James Gaven

General Counsel & Chief Compliance Officer, SK Capital Partners

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A speaker photo for Sarah Christensen

Sarah Christensen

Deputy Chief Compliance Officer, Bow River Capital

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Break
15:40 - 16:05

Networking Break

Roundtables
16:05 - 16:55

Hone your annual review process and testing strategies

Kathleen Servidea, Darilyn Olidge, Jerry Sanchez, Patty Nykodym, Sarah Pikover
  • 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

Moderator
Kathleen Servidea, General Counsel and CCO, Gallatin Point

Panelists
Darilyn Olidge, General Counsel and CCO, Brightwood Capital Advisors
Jerry Sanchez, CCO, New Enterprise Associates
Patty Nykodym, Chief Financial Officer/Chief Compliance Officer, FFL Partners
Sarah Pikover, Chief Compliance Officer & Director of Operations, 137 Ventures

A speaker photo for Kathleen Servidea

Kathleen Servidea

General Counsel & Chief Compliance Officer, Gallatin Point Capital LLC

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A speaker photo for Darilyn Olidge

Darilyn Olidge

General Counsel, Brightwood Capital Advisors, LLC

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A speaker photo for Jerry Sanchez

Jerry Sanchez

CCO, New Enterprise Associates (NEA)

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A speaker photo for Patty Nykodym

Patty Nykodym

Chief Financial Officer & Chief Compliance Officer, FFL Partners

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A speaker photo for Sarah Pikover

Sarah Pikover

Chief Compliance Officer & Director of Operations, 137 Ventures

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16:05 - 16:55

Wearing multiple hats

Laure Brasch, Lisa Costello, Eve Mongiardo, Michael Altschuler, Jesse Knapel
  • 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

Moderator
Laure Brasch, Managing Director and Chief Compliance Officer, Franklin Park

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
Jesse Knapel, CFO and CCO, Prelude Growth Partners

A speaker photo for Laure Brasch

Laure Brasch

Managing Director and Chief Compliance Officer, Franklin Park

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A speaker photo for Lisa Costello

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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A speaker photo for Jesse Knapel

Jesse Knapel

CFO & CCO, Prelude Growth Partners

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Plenary
17:15 - 18:05

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

David Richards, Robert McGrail, Matthew Liposky, Kim Davis
  • 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

Moderator
David Richards, Senior Director, Alvarez & Marsal

Panelists
Robert E. McGrail, Head of Legal and Compliance, DUMAC, Inc
Matthew Liposky, Chief Investment Operating Officer, Massachusetts Pension Reserves Investment Management Board
Kim Davis, Senior Director – Compliance & Compliance Counsel, UTIMCO
Tory Horton, Assistant General Counsel, Illinois State Treasurer Michael W. Frerichs

A speaker photo for David  Richards

David Richards

Senior Director, Alvarez and Marsal

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A speaker photo for Robert  McGrail

Robert McGrail

Head of Legal and Compliance, DUMAC, Inc

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A speaker photo for Matthew Liposky

Matthew Liposky

Chief Investment Operating Officer, Massachusetts Pension Reserves Investment Management (MassPRIM)

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A speaker photo for Kim Davis

Kim Davis

Senior Director – Compliance and Compliance Counsel, The University of Texas/Texas A&M Investment Management Company (UTIMCO)

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End of Day One
18:05 - 19:05

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.
08:00 - 08:50

Breakfast Meeting A: Firmwide risk-management strategies

Lisa Costello, Jennifer Mello, Adan Araujo, Michelle Bergman, Adam Childers
  • Importance of conducting a risk assessment
  • Distinguish between compliance risks and risks that are operational Assessment and re-assessment of key vendors
  • What is your policy on vendor due diligence
  • What policy and procedures should you have for monitoring key things (e.g. privacy provisions and cybersecurity)
  • Create and evaluate processes and policies to mitigate risks
  • Determine which safeguards to prioritize and when and how to implement them

Moderator
Lisa Costello, CAO, CCO & Managing Director, HCI Equity Partners

Panelists
Jennifer Mello, General Counsel and CCO, Altamont Capital
Adan Araujo, Senior Managing Director and Chief Compliance Officer, Jasper Ridge Partners
Michelle Bergman, General Counsel & CCO, Vestar Capital Partners
Adam Childers, CFO and CCO, Quad-C Management

 

A speaker photo for Lisa Costello

Lisa Costello

CAO, CCO & Managing Director, HCI Equity Partners

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A speaker photo for Jennifer Mello

Jennifer Mello

Managing Director, GC/CCO, Altamont Capital Partners

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A speaker photo for Adan Araujo

Adan Araujo

Senior Managing Director and Chief Compliance Officer, Jasper Ridge Partners

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A speaker photo for Michelle Bergman

Michelle Bergman

Chief Compliance Officer and General Counsel, Vestar Capital Partners

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A speaker photo for Adam Childers

Adam Childers

Chief Financial Officer & Chief Compliance Officer, Quad-C Management, Inc

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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

Sandi Kim-Suk, Steven Spencer
  • 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
Sandra Kim-Suk, Chief Financial Officer and Chief Administrative Officer, Engine No. 1
Steven Spencer, Executive Advisor – Senior Legal Advisor, Siris Capital Group

A speaker photo for Sandi Kim-Suk

Sandi Kim-Suk

CFO & CAO, Engine No. 1

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A speaker photo for Steven  Spencer

Steven Spencer

Executive Advisor - Senior Legal Advisor, Siris Capital Group

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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 learn how to conduct your firm

Laura Ferrell, Leigh Rovzar , Daniel Gewanter, Erin Nelson, Usman Shakeel
  • Determine your firm’s exam team composition
  • Hear examples of firm’s steps and priorities when preparing
  • Trends in referrals to enforcement and how to avoid it
  • Hear lessons learned from sweeps
  • What procedures should you have in place

Moderator
Laura Ferrell, Partner, Latham & Watkins

Panelists
Leigh Rovzar, Partner, General Counsel & Chief Compliance Officer, BayPine
Daniel Gewanter, General Counsel and Chief Compliance Officer, Kohlberg & Company
Erin Nelson, Regional Head Compliance, Americas, Partners Group
Usman Shakeel, General Counsel and CCO, Wind Point Partners

A speaker photo for Laura Ferrell

Laura Ferrell

Partner, Latham & Watkins LLP

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A speaker photo for Leigh Rovzar

Leigh Rovzar

Partner, General Counsel & Chief Compliance Officer, BayPine

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A speaker photo for Daniel Gewanter

Daniel Gewanter

General Counsel and Chief Compliance Officer, Kohlberg & Company

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A speaker photo for Erin Nelson

Erin Nelson

Regional Head of Compliance, Americas, Partners Group

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A speaker photo for Usman Shakeel

Usman Shakeel

General Counsel and Chief Compliance Officer, Wind Point Partners

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09:00 - 10:15

GP Only Workshop A: Determining to use compliance consultants and other third parties

Cassandra Rizzo, Adam Freedman, Letti de Little, Devin Holden, Jennifer Ciresi
  • Identifying gaps and determining which roles consultants should fill
  • 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

Moderator
Cassandra Rizzo, Director, Compliance, The Riverside Company

Panelists
Adam Freedman, Managing Director, Chief Compliance Officer, Harbourvest
Letti de Little, Chief Compliance Officer, Grain Management
Devin Holden, Chief Compliance Officer, NovaQuest Capital Management
Jennifer Ciresi, General Counsel and CCO, Redmile Group

A speaker photo for Cassandra Rizzo

Cassandra Rizzo

Director, Compliance, The Riverside Company

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A speaker photo for Adam Freedman

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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A speaker photo for Jennifer Ciresi

Jennifer Ciresi

General Counsel and CCO, Redmile Group

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Break
10:15 - 10:45

Networking Break

Plenary
10:45 - 11:35

Keynote Fireside Chat Succeeding to and in the role of CCO

Bruce Karpati, Joann Harris
  • Pathways to leadership and what figures into success
  • Dealing with frictions that are inherent to the CCO role
  • Effect changes with your teams and cope with disruptions
  • Trends in exam preparation and systems that ensure preparedness
  • Key points for implementing new regulations

Bruce Karpati, Partner, Global Chief Compliance Officer, KKR
Joann Harris, Firm Partner and Chief Compliance Officer, TPG

A speaker photo for Bruce Karpati

Bruce Karpati

Partner, Global Chief Compliance Officer, KKR

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A speaker photo for Joann Harris

Joann Harris

Firm Partner and Chief Compliance Officer, TPG

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Carousel - Efficiencies, best practices and hacks
11:35 - 12:45

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
12:50 - 13:40

Cybersecurity protocols that minimize risk

Eric DiFiore, Giulianna Ruiz, Teresa Bernstein, Noah Becker, Doug Chiciak
  • 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
  • Work in concert with your CTO to put critical procedures in place
  • Balance safeguards with the needs of company to work efficiently

Moderator
Eric DiFiore, CCO, TZP Group

Panelists
Giulianna Ruiz, Partner, General Counsel and Chief Compliance Officer, Trilantic North America
Teresa Bernstein, Chief Operating Officer, General Counsel and CCO, ACON Investments
Noah Becker, VP and CFO, LLR Partners
Douglas Chiciak, Managing Director, Chief Compliance Officer, Lightyear Capital

A speaker photo for Eric DiFiore

Eric DiFiore

Chief Compliance Officer, TZP Group

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A speaker photo for Giulianna Ruiz

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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A speaker photo for Noah Becker

Noah Becker

CFO, LLR

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A speaker photo for Doug Chiciak

Doug Chiciak

Managing Director and Chief Compliance Officer, Lightyear Capital

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Lunch
13:40 - 14:40

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

Noah Becker

CFO, LLR

Michelle Bergman

Chief Compliance Officer and General Counsel, Vestar Capital Partners

Teresa Bernstein

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

Laure Brasch

Managing Director and Chief Compliance Officer, Franklin Park

Ashleigh Brogan

Chief Compliance Officer, Declaration Partners LP

Jacqueline Cangero

Counsel, GI Partners

Joshua Cherry-Seto

Partner & CFO, StartUp Health

Doug Chiciak

Managing Director and Chief Compliance Officer, Lightyear Capital

Adam Childers

Chief Financial Officer & Chief Compliance Officer, Quad-C Management, Inc

Sarah Christensen

Deputy Chief Compliance Officer, Bow River Capital

Jennifer Ciresi

General Counsel and CCO, Redmile Group

Andrea Colabella

Founder & Principal, Cardea Group

Lisa Costello

CAO, CCO & Managing Director, HCI Equity Partners

Kim Davis

Senior Director – Compliance and Compliance Counsel, The University of Texas/Texas A&M Investment Management Company (UTIMCO)

Letti de Little

Chief Compliance Officer, Grain Management

Eric DiFiore

Chief Compliance Officer, TZP Group

Cheyenne Ehrlich

Chairman & CTO, FirmScribe

Eric Feldman

Eric Feldman

Chief Information Officer, The Riverside Company

Laura Ferrell

Partner, Latham & Watkins LLP

Adam Freedman

Managing Director & Chief Compliance Officer, HarbourVest Partners

James Gaven

General Counsel & Chief Compliance Officer, SK Capital Partners

Daniel Gewanter

General Counsel and Chief Compliance Officer, Kohlberg & Company

Aaron Gilbride

Partner, Latham & Watkins

Ross Goffi

Chief Compliance Officer, ParkerGale

Vivian Hadis

General Counsel & Chief Compliance Officer, Odyssey Investment Partners

Karen Hager

CCO, Blue Owl Capital

Mark Happe

CCO, MAI Capital Management

Sabina Haq

CCO/Senior Counsel, Sandbrook Capital

Joann Harris

Firm Partner and Chief Compliance Officer, TPG

Gregory Hegerich

Head of Compliance, North American Private Markets, Bain Capital

Michael Henry

Senior Managing Director & Chief Compliance Officer, Wafra

Devin Holden

Chief Compliance Officer, NovaQuest Capital Management

Nha-Uyen Hua

Compliance Director, Carlyle

Jemima John

VP, Compliance, Shamrock Capital

Bruce Karpati

Partner, Global Chief Compliance Officer, KKR

Sandi Kim-Suk

CFO & CAO, Engine No. 1

Jesse Knapel

CFO & CCO, Prelude Growth Partners

Nicole Krea

Partner, Ropes & Gray LLP

Matthew Liposky

Chief Investment Operating Officer, Massachusetts Pension Reserves Investment Management (MassPRIM)

Renata Malavazzi

General Counsel and Chief Compliance Officer, Paine Schwartz Partners

Mary Manin Stone Point Capital

Mary Catherine Manin

Managing Director and Head of Marketing & Investor Relations, Stone Point Capital

Tara McCarthy

General Counsel & Chief Compliance Officer, Nitorum Capital, L.P.

Bart McDonald

Executive VP and COO, Renaissance Regulatory Services

Jennifer (Jenn) McGoey

Chief Compliance Officer, Dawson Partners

Robert McGrail

Head of Legal and Compliance, DUMAC, Inc

Jennifer Mello

Managing Director, GC/CCO, Altamont Capital Partners

Martha Mensoian

General Counsel & Chief Compliance Officer, Ethos Capital

Eve Mongiardo

Chief Financial Officer Blue Wolf Capital Partners

Erin Nelson

Regional Head of Compliance, Americas, Partners Group

Patty Nykodym

Chief Financial Officer & Chief Compliance Officer, FFL Partners

Darilyn Olidge

General Counsel, Brightwood Capital Advisors, LLC

Eric Perelman

Corporate Partner, Investment Funds Practice Group, Kirkland & Ellis

Sarah Pikover

Chief Compliance Officer & Director of Operations, 137 Ventures

Michele Reing

CFO, COO and CCO, Long Range Capital

David Richards

Senior Director, Alvarez and Marsal

Jordan Richardson

CEO, FirmScribe

Cassandra Rizzo

Director, Compliance, The Riverside Company

Brian Rooder

Chief Compliance Officer & Counsel, Stone Point Credit

Kevin Rooney

Managing Director, Senior Compliance Officer, and Associate General Counsel, Cerberus Capital Management

Leigh Rovzar

Partner, General Counsel & Chief Compliance Officer, BayPine

Giulianna Ruiz

General Counsel and Chief Compliance Officer, Trilantic North America

Jerry Sanchez

CCO, New Enterprise Associates (NEA)

Jason Scoffield

Chief Compliance Officer, Audax Management Company

Daren Schneider

Chief Financial Officer and Chief Compliance Officer, JLL Partners

Kathleen Servidea

General Counsel & Chief Compliance Officer, Gallatin Point Capital LLC

Usman Shakeel

General Counsel and Chief Compliance Officer, Wind Point Partners

Steven Spencer

Executive Advisor - Senior Legal Advisor, Siris Capital Group

Junaid Subhan

Vice President, Legal Affairs & Chief Compliance Officer, Sagard

Arjuman Sultana

Assistant Regional Director, New York Regional Office’s IA/IC Program, U.S. Securities and Exchange Commission

Michelle Vaughn

Chief Compliance Officer, Lubert Adler

Whitney Vermeulen

Compliance Officer, Private Investments, Wellington Management Company

Haris Vrahliotis

Compliance Director, TowerBrook Capital Partners

Joel Wattenbarger

Partner, Ropes & Gray LLP

Brad West

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

Sherwyn Williams

Head of IT & Cybersecurity, SIRIS Capital

Pre-Event Resources

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PFC Operations 2024 Agenda

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PFC Operations 2024 Event guide

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Sponsorship opportunities

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.

Join compliance professionals from 100+ firms as they discuss SEC best practices and how to strategically prepare your firm.

See who’s attending

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

“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:

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

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 American Private Markets, Bain Capital

Steven Spencer

Executive Advisor - Senior Legal Advisor, Siris Capital Group

Venue

etc.venues
360 Madison Avenue
New York, NY 10017

Main entrance on 45th street

View the venue

Traveling from out of town and need a place to stay? Check out some of the hotels near the venue here.

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.

speakers during a panel discussion at last year's forum

Hear from KKR, TPG, and SEC keynote speakers

Hear from KKR and TPG about exam prep trends, coping with disruptions, and new regulations. Meet Daniel Faigus, the SEC’s Senior Specialized Examiner, Private Funds who will discuss proactive strategies considering enforcement actions, risk alerts, and more.

speakers at last year's forum