Risk Compliance and Governance Episode
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About the speakers
David Falgoust – Crawford & Company
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Senior Vice President – Chief Ethics and Compliance Officer
Crawford & Company
Through the Global Ethics and Compliance Office, David is responsible for the development, implementation and enforcement of an organization-wide effective Ethics and Compliance Program. He also plays a leadership role in developing a culture of integrity and establishes organizational objectives for ethics and compliance. The Ethics Office ensures conformity with applicable legal standards and best practices and implements regular training on appropriate risk and compliance issues. As Chief Ethics and Compliance Officer, David oversees investigations of alleged wrongdoing and raises and reports on ethics and compliance issues to the CEO and Audit Committee as necessary. David has been with Crawford for eight years. He has previously practiced both private and corporate law for over 30 years. David earned a law degree as well as master’s and bachelor’s degrees from Tulane University in New Orleans, LA. He serves as a member of the Board of Directors of Friends of the First Tee of East Lake and currently chairs its mentoring and enrichment committee.
Christopher V. Casdia, CSCP
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Chief Compliance Officer
Homrich Berg
Chris has over seventeen years of experience in compliance management positions. In the role of Director of Reporting, Chris leads a team responsible for HB Online, which provides their clients daily access to their Investment Portfolios.
Chris joined Homrich Berg in 2008 from AXA Advisors, where he served as director of business practices. Prior to AXA Advisors, Chris was the Chief Compliance Officer and Chief Operating Officer of Woodstock Financial Group. Chris is also a public official of the City of Woodstock, serving as Council Member for Ward 2 of the City. Chris was re-elected to his seat in the fall of 2011, and his term expires in 2015.
Chris earned a bachelor’s and master’s degree in business administration from Kennesaw State University.
Julieta Smith
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Senior Compliance Officer
Julieta Smith is a Senior Compliance Officer in Fixed Income at a large global asset management firm in Atlanta, GA. Ms. Smith’s 15 years of securities industry experience encompasses equity trading, insurance and financial sales, auditing, compliance supervision, compliance surveillance, compliance management and policy development / review. She is also a certified arbitrator with the Financial Industry Regulatory Authority (FINRA).
As a Senior Compliance Officer, Ms. Smith’s role touches several facets of compliance: investment guideline reviews, monitoring of account trading activity, mutual fund launches, derivatives testing, regulatory filings and authoring written supervisory procedures for testing and monitoring activities.
A native Floridian, Ms. Smith has been residing in the Atlanta, GA area for 3 years and is also the founder of a non-profit scholarship fund which targets ‘B’ and ‘C’ students that have experienced challenges in their lives yet demonstrate a tenacity to exceed and achieve higher learning goals.