In Episode 7 of The Shadmoor Overlook, Mike Merrigan sits down with Vanessa Sasson, Partner at Florio Leahy LLP and Principal and Director of Legal at Orical LLC, to discuss how outsourced compliance services can help investment managers build and maintain effective compliance programs without necessarily adding to their internal headcount.

Drawing on her experience working with investment managers, Vanessa discusses how outsourced compliance partnerships work in practice, from helping emerging managers establish their compliance infrastructure to providing established firms with additional expertise and resources. The conversation also explores how outside support can help managers keep their policies and procedures current and prepare for SEC examinations.

🔎Topics covered:

• The role of outsourced compliance in supporting managers

• Maintaining and evolving compliance programs as a firm grows

• Preparing for and navigating SEC examinations

  A practical discussion on how outsourced compliance can complement internal resources and help investment managers maintain a compliance program that keeps pace with the needs of their business.