Considerations and Practices for Supervising Independent Contractors

SKU: SEC016 Back to Course Listings

About This Course

This CLE program addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts.

The panel also discusses existing rules and related guidance and shares effective industry practices.

After attending this session, you will be able to:

Understand the challenges associated with supervising independent contractors
Identify effective practices for supervision and oversight of independent contractors
Review cybersecurity policies, procedures and oversight processes for independent contractors

Lecturers for this Course

Robert Molinari Meaghan Reim-Strange, Esq. Douglas Wilburn

Lecturer Bios

Robert Molinari

Robert Molinari has been with Commonwealth Financial Network since 2004. As the Chief Regulatory Affairs Officer, Mr. Molinari leads and manages the Regulatory Response Unit and oversees management of the Supervisory Controls Unit, which performs 3120 and 206(4)-7 testing at the firm.

He received his BS in criminal justice from Northeastern University and his MBA from Babson College. In addition, Mr. Molinari holds the Certified Regulatory and Compliance Professional (CRCP)® designation, as well as a number of FINRA registrations.

Meaghan Reim-Strange, Esq.

Meaghan Reim-Strange is Senior Principal Examiner, Member Supervision for FINRA. Ms. Reim-Strange’s responsibilities include: (i) serving primarily as lead examiner and point of contact for examinations of FINRA member Firms; Investigate FINRA member Firm’s processes and procedures in areas such as AML Compliance, Supervisory Controls; Private Securities Transactions; Outside Business Activities; Consolidated Statements; Excessive Trading and Churning; (ii) analyzing examination findings and member Firm regulatory history to determine appropriate disposition; and (iii) provides on the job training for newer examiners.

Ms. Reim-Strange has been with FINRA since 2010. She entered the securities industry in 2002 as a broker-trainee before moving to an Equity Capital Markets Compliance Associate position for a broker dealer within the Philadelphia area.

Ms. Reim-Strange has a Bachelor of Arts degree in Political Science from Villanova and a Juris Doctor from Widener University School of Law. She has been a member of the Pennsylvania bar since 2009 and she is also a Certified Fraud Examiner (CFE).

Douglas Wilburn

Doug Wilburn is General Counsel and Chief Compliance Officer of Akron, Ohio based Valmark Financial Group and its broker-dealer, Valmark Securities, and investment adviser, Valmark Advisers. Mr. Wilburn received his undergraduate degree in Political Science from the University of Missouri and, immediately upon graduating from St. Louis University School of Law, began his career in financial services at AG. Edwards & Sons. Mr. Wilburn later went on to practice law in both the public and private sectors, first as a public defender and then as an associate in the Litigation Department of St. Louis, Missouri-based Bryan Cave.

Mr. Wilburn was subsequently appointed Missouri Securities Commissioner where he led his state’s investor education efforts while also enforcing its securities laws. Mr. Wilburn then went on to serve as Managing Director and Deputy Chief Compliance Officer at Wachovia Securities in Richmond, Virginia and then as the Chief Compliance officer of Washington Mutual’s retail broker-dealer and investment adviser in Irvine, California. Upon JP Morgan Chase’s acquisition of Washington Mutual, Mr. Wilburn was named Managing Director and Chief Compliance officer of JP Morgan Chase’s retail broker-dealer and investment adviser, Chase Investment Services. Mr. Wilburn holds Series 4, 7, 14, 24 and 66 registrations.

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Accreditation and CLE Rules for Nevada

Considerations and Practices for Supervising Independent Contractors

About This Course

After attending this session, you will be able to:

Lecturers for this Course

Spend less and get more

Dedicated CLE Manager

Riveting Content & an Exceptional Library

Free Customized CLE Tracker

Online, Audio CD, DVD, iOS/Android App, USB Stick

Want Different Options?

Subscribe for Course Updates and News

Subscribe for Course Updates and News

Please provide us with your licensed state(s) so we can send you content relevant to you.

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