Jackie Sanz of Protiviti talks with Amy Aubin, a CCO of two firms in Canada, about compliance and risk challenges faced by compliance professionals of smaller firms in the asset management industry, where innovation and access to compliance networks are of importance in the management of risk.

Show Notes
02:13 Career journey
06:08 Risks in Smaller vs Larger Asset Management Firms
14:01 Lasting Impact of COVID-19 Pandemic
17:41 Hiring Compliance for Small Firms
22:53 Top Risks in Current Environment
27:39 Advice for future CCOs

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