October 21, 2020
Navigating Investment Restrictions and Regulations with Charles River Compliance Services
Join Charles River's Explore & Learn webinar series. Discover new ways to leverage the Charles River Investment Management Solution as our product experts discuss and demonstrate the latest product capabilities.
Charles River compliance experts Ryan Harvey and Ailbhe Griffith will continue our Explore & Learn webinar series with a look at the ways Compliance Services help firms manage their investment compliance needs and navigate an increasingly complex and ever-changing regulatory environment.
Ryan and Ailbhe will discuss how our team acts as an extension of a firm's compliance organization by providing deep compliance experience that is difficult to match and maintain with in-house staff alone.
- Investment compliance challenges facing our clients
- An introduction to the Charles River LawCard® Solution, which helps to simplify the process of monitoring regulations across multiple jurisdictions
- Compliance with shareholder disclosure regulations
- Rule-writing, maintenance, and support services
The webinar is a 35-minute presentation and discussion followed by Q&A.
Senior Analyst, Compliance Services
Ryan is responsible for developing and executing daily operations for the Global Shareholder Disclosure Service at Charles River. Ryan has 15 years’ experience spanning across several different areas of financial services including prior roles at an investment advisor, a private broker dealer and both private and public investment banks with a specific focus on investment compliance. Prior to joining Charles River, Ryan served as a Compliance Officer at JP Morgan and Brown Brothers Harriman. Ryan holds a Bachelor of Arts in Sociology/Criminal Justice from Mount Saint Mary’s University and a Master’s in Business Administration from the University of Rhode Island.
Compliance Manager, EMEA
Ailbhe Griffith has over twelve years of experience working in the area of investment compliance. She began her career, working in the Trustee Department of State Street Bank and Trust. She then gained extensive compliance monitoring experience as a member of the investment compliance team of two major Asset Managers: State Street Global Advisors® and Pioneer Investment Management Limited (now Amundi). Ailbhe’s exposure to funds extends to all ranges of assets classes including complex derivative instruments. She holds a Bachelor’s Degree from University College Dublin in Commerce and a Postgraduate Diploma in Legal Studies. Currently, Ailbhe is the Compliance Manager in Dublin, having joined Charles River Compliance Services in 2015.