Interactive Compliance Labs for BDs & IAs - New York

Korrine Khom
I am a nationally-recognized leader in regulatory compliance for wealth management and private fund managers. Specializing in the Investment Adviser Act compliance for hedge fund, private equity funds, retail advisers and wealth managers, I thoroughly enjoy helping investment advisers and private fund advisers meet their compliance obligations. 
 
Is an active member of the National Society of Compliance Professionals for over 20 years, I earned my Investment Adviser Certified Compliance Professional (IACCP) designation in 2006, am a member of the Association of Certified Fraud Examiners, and have obtained my Certified Fraud Examiner (CFE) designation.

I most enjoy being a frequent speaker at industry conferences, with particular focus on behavioral ethics, managing compliance programs and making those programs more effective.

Memberships: NSCP, ACFE, notary Public
Specialties: Investment Advisers Act, Fraud Examinations, Notary

David Zack
Mr. Zack is an experienced securities industry professional with deep experience leading the Compliance and Anti-Money Laundering departments for both Broker-Dealers and Investment Advisors covering a wide range of financial products. He is a leader proficient in advising senior management on regulatory matters and in building relationships with both regulators and front officer personnel. He is known for the ability to interpret complex regulations and to present them to diverse audiences while mentoring to mitigate risk. 

As a thought leader, he helps firms comply with regulatory obligations and succeed in business. Mr. Zack most recently is the Chief Financial Officer and Chief Compliance Officer of Bryan Garnier Securities, LLC, a US SEC registered broker-dealer. Areas of expertise include but are not limited to: Risk Assessment, AML, Policies and Procedures, Investment Banking, Equity & Debt Research, Relationship Management, Regulatory Reporting, Audits & Inquiries, Business Continuity & Cyber-security Plans, and has experience as a Branch Chief for the United States Securities and Exchange Commission. 

Mr. Zack holds a Bachelor of Science Degree in Accounting from the Pennsylvania State University, a Master of Science degree in Taxation from Philadelphia University (with an emphasis on entity formations), and is accredited as a Certified Regulatory and Compliance Professional from the Financial Industry Regulatory Authority & Wharton School of the University of Pennsylvania. Mr. Zack is also is a Certified Public Accountant and Chartered Global Management Accountant from the American Institute of Certified Public Accountants and holds an array of securities licenses to complement his deep experience.

Allison Fraser
Allison is a Managing Director at Salus GRC with over 25 years of compliance and consulting experience. She works with investment advisers, registered investment companies and private investment funds to develop tailored compliance programs, evaluate their controls and assist with regulatory examinations. The services she provides include conducting annual compliance program reviews and testing, developing risk assessments, conducting due diligence reviews of sub-advisers and service providers, and preparing for SEC examinations. She also assists clients with drafting policies and procedures, conducting annual and focused compliance and ethics training, and preparing regulatory filings. Allison is an experienced chief compliance officer having served as CCO for registered investment companies.

Prior to joining Salus GRC, Allison was Director-Institutional and Registered Investment Company Services of the Compliance Services practice at Confluence (formerly Ascendant Compliance Management). There, she led a team of consultants in providing compliance solutions to clients. Before Confluence, she was a Senior Vice President of Compliance at Northern Trust Asset Management (NTAM). In this capacity, she managed and administered the compliance due diligence program for NTAM's multi-manager solutions and outsourced Chief Investment Officer programs, which included over 300 sub-advisers consisting of investment advisers, private funds and registered investment companies. Additionally, Allison served as the Chief Compliance Officer of two registered funds of hedge funds advised by NTAM. Earlier in her career, Allison served as the Compliance Director of General Motors Asset Management where she assisted with the administration of the compliance program for this registered investment adviser and its affiliated private fund adviser.

Allison earned a B.S. from the University of Vermont and a Legal Assistant Certificate from The George Washington University. Allison has also obtained the designation as a Certified Fraud Examiner (CFE). The CFE credential denotes proven expertise in fraud prevention, detection and deterrence.

Erin Preston
Erin Preston is a legal/compliance professional with 16+ years of experience in performing legal and compliance functions, ensuring adherence to regulatory requirements for brokerage, investment adviser and proprietary trading business lines. Forward-thinking individual with proven ability to critically evaluate, respond to rapidly changing conditions and problem solve. Her background in regulatory adherence for brokerage, investment and proprietary trading lines, includes her designing and implementing a technology governance program, managing real-time trading issues, development of policy and procedure related to compliance oversight, and relevant legal matters in association with the brokerage and the investment advisory business. Prior to joining Wedbush, Erin was the Chief Compliance Officer with nabSecurities and the Associate General Counsel, AML Compliance Officer and CCO for Dash Financial Technologies.

Matt Calabro
Matt Calabro is a Managing Director at Salus GRC. His broad compliance, operations and consulting experience enables him to help organizations make compliance a strategic asset. He works with firms to develop compliance programs, conduct risk assessments and exams and implement control improvements. He is an experienced chief compliance officer, having served as CCO for registered mutual funds, investment advisers and UCITS funds, both in an in-house and outsourced capacity. 

Before joining Salus GRC, Matt was Executive Director and co-head of the Compliance Services practice at Confluence Technologies (formerly Ascendant Compliance Management). There, he was responsible for all aspects of the business, including business development and leading a team of consultants in client delivery. Prior to that, he was Deputy CCO at Macquarie Investment Management, where he led the daily activities of the firm’s compliance department and oversaw improvements in the compliance program and technology. Before Macquarie, Matt spent 20 years in Raymond James’ asset management business in a variety of compliance and operations and financial roles, and ultimately led mutual fund operations. Matt began his career as an auditor at Price Waterhouse. Matt earned his B.S. in Accounting and Master of Accounting from the University of Florida. He is a Certified Public Accountant.

Jennifer DiValerio
Jennifer DiValerio is a Senior Regulatory Response Specialist at Vanguard and is responsible for collaborating with VMC Compliance to respond to regulatory inquiries and exams requests. Prior to joining Vanguard, she was a Managing Director, at Foreside Financial Group, LLC where she provided guidance and interpretations of SEC, FINRA and applicable state regulatory,  collaborated with the broker-dealer Chief Compliance Officers to develop and implement policies and procedures to ensure effective supervisory programs and managed regulatory examination.  Ms. DiValerio holds the Series 7, 24, and 28 FINRA licenses,  is an active member of NSCP, the NSCP conference, Regulatory Advisory and Strategic Planning committees and currently serving on the NSCP Board of Directors.

Myles Blechner
Mr. Blechner provides senior-level compliance consulting services to Retail and Institutional Broker-Dealers, Registered Investment Advisers, Registered Investment Company Advisers, and Private Fund Advisers. His areas of expertise include Regulatory Examination Guidance and Management, Policies and Procedures Drafting, Advertising and Marketing Review, and Internal Examinations, including Mock SEC Examinations. Mr. Blechner takes a "hands-on" approach to Regulatory Compliance, understanding his clients\' unique business model and tailoring a risk-based compliance program. He serves as outsourced Chief Compliance Officer for some of our most sophisticated clients, including Private Equity Advisors and Wealth Managers.

Over his 25 years in the industry, he has worked directly with National Wirehouses, Investment Banks, Advisors, and other Financial Industry Members. Mr. Blechner has held positions on corporate advisory boards and is a frequent speaker at National Industry Conferences and Webinars, specializing in building on a culture of compliance, regulatory updates and changes, and utilizing technology for automation of processes. He currently holds FINRA Series 4,7,9,10,24,53,55,63,79, and 99 Registrations.

Beata Markowicz
Beata Markowicz is a Senior compliance executive with deep expertise in investment advisory and broker‑dealer programs. Proven driver of automation and system transformation that strengthens controls, saves time, and enables business progress. Trusted partner at the decision‑making table, delivering solution‑driven leadership that balances regulatory integrity with strategic growth.