As firms refine their risk management approaches, many are looking beyond formal models to focus on how compliance and oversight function in practice. Although the “three lines of defense” model is commonly associated with banking institutions, its principles remain highly relevant for non‑bank‑owned RIAs of all sizes.
In this session, we will explore how CCOs can apply these concepts pragmatically to clarify roles, strengthen accountability, and improve coordination across business, compliance, and assurance functions. The discussion will focus on practical tools and operating approaches that support proactive risk identification, integrate oversight of relevant risks, and scale with organizational complexity—without slowing the business.
Attendees will leave with actionable insights on how to maintain influence, independence, and regulatory credibility, even in organizations without formal “lines” or internal audit structures.
Speakers:
- Courtney B. Posner, Partner, Lowenstein Sandler LLP
- Matt Villa, Senior Principal Consultant, ACA Group
Time: 9:25-10:10 a.m. ET
Location: Omni Nashville Hotel, 250 Rep. John Lewis Way South, Nashville, TN 37203
