Arlenee Lopez - Ferguson Email & Phone Number

Beverly Hills, Ca, Us

Pendulum seeks to reimagine how great companies are built and redefine who gets to build them.

New York, Ny, Us

Summit Trail is a leading Networked Family Office – intentionally designed for those who have outgrown traditional wealth managers and desire the outcomes of a more dynamic, connected approach previously only found with individual family offices.Duties & Responsibilities:Lead and coordinate complex Cyber and Compliance Programs, aligning policies and procedures with legal, industry, and statutory standards and regulations. Draft and deliver Cyber and Compliance training, monitor compliance of prorgrams, and coach/treain staff on violations. Identify and report program risks to senior C-Level Executives. Manage regulatory filings (Form U4, U5, ADV, CRS). Support audits and regulatory exams. Supervise and approve gifts, entertainment, outside business activities, political contributions, and Code of Ethics policies and procedures. Lead vendor relationships, including onboarding/offboarding, annual and ongoing Due Diligence. Direct IT and cloud service partnerships to institute strategic security enhancements. Oversee fin-tech employee recruitment, onboarding, and offboarding. Track and surveil email, social media, instant message, company’s restricted list, and employee Personal Trading activities. Notable Acomplishments:• Spearheaded STA's Cyber Security Governance Program, introducing Cyber Security policies and procedures, including data and risk management controls, minimizing risk, potential client data mismanagement, and physical IT assets. • Developed and assumed the role of Chairwoman to Compliance and Cyber Committees.• Produced and implemented Business Continuity Plan, mitigating effects of disruption and risk of financial loss and maintaining employee, client, and supplier confidence in the organization’s services and capabilities. • Established new procedures in alignment with European Union (GDPR), US Federal, State, and Industry-specific (DFS) (CCPA) cyber security regulations.

London, Gb

Worldwide, Oo

Managing Risk, Cyber Security

Bachelor Of Arts - Ba, With High Honors, Major: Law / Sociology