Compliance Risk Concepts (CRC)
Kris Bartscht is a seasoned compliance professional with extensive experience in the field, currently serving as a Senior Compliance Consultant at Compliance Risk Concepts since September 2019. Prior to this role, Kris held the position of AVP, Principal Compliance Analyst in Marketing Review Compliance at Nuveen from July 2016 to September 2019. Kris's career also includes significant positions at Transamerica Asset Management as AVP, Advertising Compliance Manager from January 1997 to June 2016, and as a Compliance Specialist at Raymond James Financial Inc. from January 1992 to January 1997. Educational background includes studies at PennWest Edinboro and the University of South Florida.
Compliance Risk Concepts (CRC)
To meet rigorous regulatory expectations and requirements, it is imperative that organizations have access to “best in class” talent that has extensive knowledge of the businesses being supported. CRC is staffed with a team of Compliance Risk Management industry professionals that have a proven track record of establishing comprehensive Compliance Risk Management Programs throughout many industry verticals. We offer compliance consulting services in the following industries: Financial Services Anti-Corruption & Ethics Technology Industry Compliance Enterprise Compliance Risk Management Research Supervisory Analyst Expert Witness Service Financial Operational Principal Services With headquarters in New York, NY, and offices in Chicago, IL, and Westport, CT, CRC is your full-service Compliance Risk Management support partner. Please feel free to contact us with any questions related to the services and solutions described and we would be happy to schedule a call / meeting to further determine your individualized needs and requirements. CRC specializes in executing and overseeing the following: New Member Applications | Continuing Member Applications | Annual CEO Certifications | Independent AML Reviews | Conflict of Interest Reviews | Expert Witness Testimony | 15c3-5 Certifications | MCDC Oversight | Trading Surveillance | Best Execution Analysis | Swap Dealer BCP Independent Reviews | Investment Advisor Gap Analysis | Industry Surveys/Studies | Public Speaking Engagements | Written Supervisory Reviews | Regulatory Relations | Examinations | Dodd-Frank | Volcker Rule | Broker Dealer Compliance | Sales Practice | Bank Compliance | System Implementations | Equity and Fixed Income Markets | Research | BSA / AML | Regulatory Reporting