2020 RIA Compliance Connection

  • Overview
    • August 26 & 27, 2020

      Join RIA Compliance Consultants on Wednesday, August 26 and Thursday, August 27, 2020 for our Investment Adviser Compliance Conference.

      Due to the COVID-19 pandemic, the conference will be available virtually through Zoom.com and there is not an in-person attendance option like past years.

      Despite no in-person attendance option, the online conference will be structured to promote peer-to-peer networking and sharing through online breakout group over Zoom.com. RIA Compliance Consultants recommends that you access the online conference through a device with a video camera so you have the option of letting others see you, but that is not a requirement.

      who attends

      Conference attendees have included:

      • Chief Compliance Officers /General Counsels
      • Managing Directors /Operations Officers
      • Leaders of State & SEC Registered RIAs
  • Register Now
    • To register please click here!

  • Agenda and Speakers
  • Scholarship for College Students - Winner
    • RIA Compliance Consultants is pleased to announce Gianluca Cocito-Monoc as the winner our our 2020 Conference Scholarship, which will be presented at “RIA Compliance Connection 2020.” Gianluca is a second-year law student at Tulane Law School in New Orleans and earned his undergraduate degree from Tulane’s A.B. Freeman School of Business. This summer, he worked with the Chief Compliance Officer at an RIA firm in Louisiana that advises high net-worth individuals, retirement plan sponsors, and non-profit endowments and foundations. After his first project, he was fascinated by the complexity of the regulations governing RIAs, especially in the 401(k) space. Gianluca has his eyes set on working in either New Orleans or Washington, DC at a corporate law firm post-graduation.

      Congratulations, Gianluca!


  • Compliance Professional of the Year
    • Anyone who has ever worked in compliance understands that compliance professionals play a critical role that is often overlooked. In an effort to recognize the hard work of so many dedicated compliance professionals RIA Compliance Consultants (RCC) is proud to offer our Compliance Person of the Year Award. This honor will serve to recognize the best of the best within the ranks of investment adviser compliance.

      In choosing the recipient, several things will be considered, including years of experience, leadership, character, and a great compliance program. The winner of the Compliance Professional of the Year Award will be announced during RIA Compliance Connection 2020, our annual investment adviser compliance conference hosted on August 26 and 27, 2020 through Zoom.com.

      The winner of the award will receive a complimentary seat to RIA Compliance Connection 2020. RIA Compliance Consultants will also donate $500 to a charity of the Compliance Professional of the Year’s choosing.

      RIA Compliance Consultants is now accepting applications for the Compliance Professional of the Year. You can nominate yourself or someone you think exemplifies a true compliance professional. All applications must be submitted no later than July 15, 2020.

      Click the following link to download the application. Compliance Professional of the Year Application 4823-6849-6312 v.1