Interactive Compliance Labs for BDs & IAs - Chicago

Paul Felsch
Paul Felsch is the founder and owner of Helios, and investment management Compliance consultancy.  Prior to founding Helios, he served as Chief Compliance Officer with organizations such as Edward Jones, Allspring Global Investments, and Galliard Capital Management.  A former government attorney, he also teaches courses on investment management regulation at Saint Louis University School of Law.  Paul has also been a speaker and author for organizations such as NSCP, the Investment Company Institute, the Investment Advisers Association, the Investment Management Education Alliance, the Mutual Fund Directors Forum, and Advisor Hub.  He is a licensed attorney and also holds the FINRA Series 7, 9, 10, 24, and 66 licenses.

Maureen Kiefer-Goldenberg
Maureen Kiefer-Goldenberg currently serves as Senior Vice President, Compliance for Mariner Wealth Advisors. She strategically collaborates with senior management to proactively grow the business through effective compliance efforts, oversees integration of compliance for acquisitions, both pre and post-acquisition, and oversees the full compliance team on day-to-day compliance responsibilities. She has proactively taken remote compliance teams and integrated them into every aspect of the firm. 

Currently she manages her team fully remote from Cincinnati. Team members reside in various states throughout the country. She previously served as the Chief Compliance Officer for The Mather Group, LLC. Prior to The Mather Group, Diamond Hill, she was Chief Compliance Officer for Diamond Hill Funds, Rockbridge Capital, Mercer Funds and Fund Evaluation Group. She earned her M.S. in Executive Leadership and Organizational Change from Northern Kentucky University, where she also received her B.A. in Organizational Leadership. Maureen taught on the faculty of Northern Kentucky University as an Adjunct Professor. She also holds the Certified Securities Compliance Professional designation (CSCP) from the National Society of Compliance Professionals (NSCP).

Jeff Ziesman
Jeff Ziesman assists financial institutions with regulatory matters brought by the US Securities and Exchange Commission (SEC), the Financial Crimes Enforcement Network (FinCEN), Financial Industry Regulatory Authority (FINRA) and state securities regulators. His clients range from large financial organizations with a global reach to mid-sized regional businesses.

With more than 20 years of experience in the regulated entity space, first as a regulator and now defending regulated entities, Jeff brings an insider’s perspective and practical approach to handling regulatory examinations, investigations and enforcement proceedings. He regularly provides clients with preventive guidance, reviewing overall compliance programs, performing gap analysis and risk assessments and assisting with analyses of historical transactions.

Before returning to private practice, Jeff was the Deputy Regional Chief Counsel for the Midwest Region of FINRA. He also served as the enforcement representative for FINRA’s Regulatory Disposition Group for Anti-Money Laundering (AML) cases. Jeff brought many groundbreaking enforcement cases in the AML space, including several FINRA press release matters.

Steven Farmer
Steven Farmer currently serves as the Chief Compliance Officer for Confluence Investment Management LLC. Mr. Farmer is responsible for managing the compliance program to effectively monitor compliance with internal policies as well as regulatory requirements. Before joining Confluence, Steven served as the Chief Compliance Officer for Northern Trust Investments, Inc., 50 South Capital Advisors, LLC and various registered mutual funds. Previously, Steven served as the Chief Compliance Officer for Mesirow Advanced Strategies, Inc., as well as senior compliance positions for Mesirow Financial International in the U.K. and Hong Kong. Mr. Farmer received a Bachelor of Science degree in Finance from Northern Illinois University and a Master of Business Administration degree from DePaul University.

Kyrstin Ritsema
I am humbled and grateful to lead a team of highly skilled professionals dedicated to advancing and streamlining the regulatory compliance landscape for companies regulated under the SEC and FINRA jurisdictions. Through a comprehensive suite of outsourced compliance services—including CCO outsourcing, mock regulatory exams, annual reviews, targeted reviews, risk assessments, cybersecurity testing and controls, and ongoing consulting—the team empowers firms to confidently navigate complex regulatory challenges.

I joined Confluence after a successful term as Chief Compliance Officer for Executive Wealth Management where I played an instrumental role in driving the firm’s growth trajectory and long-term strategic initiatives. Throughout my tenure, the team and I spearheaded a comprehensive rebranding effort, directed the establishment of multiple new satellite locations, and forged key strategic partnerships that significantly contributed to the firm’s market position. The firm experienced a remarkable threefold increase in assets under management (AUM), demonstrating my exceptional ability to drive both compliance excellence and business growth. Prior to my CCO role, I spent a decade at UBS Financial Services, ending my tenure as Compliance Risk Analyst responsible for overseeing and managing risk strategy across the Michigan and Ohio markets.

I serve as Co-Chair of the Regulatory Advisory Committee for the National Society of Compliance Professionals (NSCP), where I am thrilled to play a pivotal role in shaping industry regulation and best practices. I have maintained my Investment Advisor Certified Compliance Professional (IACCP®) designation since 2017 with corresponding annual continuing education. I hold a Bachelor of Science degree from Michigan State University and, in addition to NSCP, am actively involved with the Investment Advisors Association, and several charitable organizations dedicated to supporting mental health awareness.

Robin Freeman
Robin Freeman is Chief Compliance Officer for LaSalle Investment Management Distributors, LLC (“LaSalle Distributors”) a registered broker dealer in the US and an exempt market dealer in Canada. In this role, she develops and implements compliance policies and procedures, provides regulatory guidance to the business, reviews marketing materials, oversees registration and regulatory reporting, is the AML Compliance Officer and acts as liaison with regulatory agencies for each entity. Prior to joining LaSalle Distributors, Robin was the Assistant Chief Compliance Officer and Chief Information Security Officer at Legal & General Investment Management America (“LGIMA”) from 2014 – 2019 where she was responsible for the development, enhancement and oversight of the compliance program for LGIMA's regulatory requirements, as well as its cyber security and information security programs.

Prior to LGIMA, Robin was Vice President, Compliance Manager at Nuveen Investments for approximately 18 years. During her tenure, Robin had compliance oversight of the Broker-Dealer and General Corporate Compliance Programs. Prior to Nuveen, Robin was a Corporate and Securities Paralegal at Sidley Austin for six years in the Derivatives and Corporate/Securities Groups. Robin holds a BA in Political Science from Purdue University and a Paralegal Certificate in International Trade Law and Business from the Philadelphia Institute of Paralegal Studies. She also received her Certified Securities Compliance Professional (“CSCP”) certification in 2016.

Jim Lundy
Jim Lundy serves as a Co-Leader of Foley & Lardner’s Securities Enforcement Subgroup. He defends and protects clients under investigation by the SEC, CFTC, FINRA, States, and other regulatory bodies by leveraging his experience working in the SEC’s Division of Enforcement for almost a decade as a senior trial counsel and branch chief. He spent the last several years of his service with the SEC helping lead the Division of Examinations program for the Midwest. Jim has helped clients resolve high-stakes enforcement investigations with no charges filed, and he has lowered enforcement settlement demands by hundreds of millions of dollars. He also proactively represents digital asset clients in defense and regulatory work; leads internal investigations; defends cybersecurity enforcement investigations; serves as an independent monitor and expert witness; provides counsel on compliance, governance, and policy issues; and defends clients in complex financial services litigation.

Bridget Ward
Bridget Ward is Senior Vice President of Compliance at GeoWealth, a Chicago-based wealth technology firm and SEC Registered Investment Advisor. In this role, Bridget oversees the development, implementation, and ongoing enhancement of GeoWealth’s compliance program. Prior to joining GeoWealth in 2022, Bridget served as the Chief Compliance Officer at Spotlight Asset Group. She also previously held several positions at JPMorgan Chase & Co., including roles within the Corporate & Investment Bank focused on Conflicts and Compliance Testing. Bridget received a Bachelor of Arts from the University of Notre Dame in 2007 and J.D. from The Seton Hall University School of Law in 2012.