About Us

The Compliance Strategy Institute is a Platform for Compliance, Operations, Risk, Legal and Tech Leaders to Share Perspectives and Best Global Practices for the Industry

Compliance in investment management, along with risk, technology and data management, is the centerpiece of upcoming global regulatory efforts, with a shift in culture and conduct. With potential black swan costs when mismanaged and a growing complexity of adhering to ever changing global/local regulatory and reporting requirements, the Compliance Strategy Institute (CSI) is a peer-to-peer platform for compliance, operations, legal, risk and technology executives to share perspectives, examine best practices and develop compliance through leadership.

CSI deals with the themes of strategic priority for investment management executives, as they think on a high level about compliance, risk, technology and their impact of business models and growth initiatives (CIO and board relations, next generation reporting, alternatives as the next compliance frontier, outsourcing compliance functions, reputation and regulation, etc).

Simultaneously, the institute addresses the more technical and operationally essential issues compliance, legal, tech and risk departments are faced with to ensure the sustainability and growth of their organizations (the "multi"-maze, product innovation, MIFID, PRIPS, GDPR, SEC amendments and changes, cost-benefit compliance analysis, changes in IT, data and reporting, and more).

Membership Benefits

  • Peer-to-peer networking and exchange for CCOs, CROs, CTOs, COOs, CLOs and other leaders
  • Compliance, tech, risk and legal talent expansion/managemetn via the largest global proprietary database
  • Access to compliance experts with decades of experience globally
  • Access to CSI research on global compliance topics and ongoing regulatory updates
  • CSI membership networking and introductions at events and virtually
  • Webinars on new regulations and amendments in the US, Europe and globally
  • Advisory board participation (at CSIs discretion)
  • Five delegate passes for clients and prospects for all global CSI events
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CSI is an affiliate of

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Principals

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Daniel Enskat

President and CEO,
Compliance Strategy Institute
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Robert Warren

Partner and Co-Founder,
Compliance Strategy Institute
jim-casella

Jim Casella

President and CEO,
Compliance Solutions Strategies