Alternative Investments, Business Management, Conference / Seminar, Diversity & Inclusion Forum, Virtual Events & Programming

Operational Due Diligence in 2021 and Beyond

September 23, 2021 | 12:00 PM - 1:30 PM

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Overview

Investment managers and allocators, as well as service provider partners, are invited to attend a timely panel discussion on the topic of Operational Due Diligence (“ODD”). This critical industry process was significantly affected by the switch to a remote working environment during the pandemic; our panel will address best practices for this process in a remote setting, as well as adapting ODD models and investor relations (“IR”) processes to the new normal.

Attendees will learn ways to ensure their firms’ ODD processes are effective and well-defined to better attract and retain assets from institutional investors, while developing a more complete understanding of new potential risks to business operations in a remote environment. The lack of certainty regarding employees’ timetable to return to the traditional office setting lends urgency to this discussion, which will address the use of combined technology resources and in-person reviews as part of a larger deep dive into the topic. The panel will also discuss how new DEI codes and measures impact firms ODD process. To provide a range of perspectives, this panel will comprise both allocators and investment managers.

Agenda

12:00 PM | WELCOMING REMARKS

Justin Carreon, CFA, Director, Investment Manager Services, Alternatives Business Development, SEI

12:05 PM | PANEL DISCUSSION

Moderator

Gregg Sommer, CAIA, Partner, US Financial Intermediaries Leader and Head of Mercer Sentinel ODD, Mercer Investments

Panelists

Anushree Mohta, MBA, Head of Operational Risk and Operational Due Diligence, Pagaya Investments

Vincent Molino, Front Office Solutions – Head of Risk and Operational Risk Management, Northern Trust

Benjamin Murray, CFA, Chief Operating Officer, Cypress Creek Partners

1:15 PM | Q&A

1:30 PM | CLOSING REMARKS

Stephan Puhlmann, CFA, CPA, Senior Controller, Colbeck Capital Management

Additional Details

Learning Outcomes

  • Navigate fundamental components of the ODD process
  • Understand best practices for managing your fund’s operational risk
  • Identify significant variance in risks across alternative strategies, as well as specific “knock-out factor” issues
  • Learn to strategically tailor different ODD processes
  • How new DEI codes and measures impact ODD process.

Related topics

Sponsorship Overview

For over 80 years, CFA Society New York—formerly known as New York Society of Security Analysts (NYSSA)—has been a leading forum for the exchange of information among investment professionals. Our mission is to raise standards of practice in the industry for the ultimate benefit of society. Towards that goal, CFA Society New York content is curated by volunteer practitioner interest groups that strive to shape the future of the industry. A bold line exists between the financial support by organizations to maintain the quality of our programming and the selection of speakers who contribute to dialogue in our community. To that end, a ceaseless commitment to transparency is something we consider foundational to our cause.

Please be advised of the following information related to Society sponsorship and support:

Through financial support and other means of in-kind support, each event sponsor, event partner, event co-host and organizational partner of CFA Society New York plays a valuable role in the furtherance of the range of forward-thinking initiatives that underpin the Society’s values, and toward our mission to deliver Society content and programming of the highest quality and standard.

CFA Society New York thanks all of its sponsors, event-related affiliates and organizational partners for helping us continue to shape the conversation of the investment community.

Legal Notice and Disclaimer

CFA Society New York (including its employees and agents) assumes no responsibility for presenters or consequences resulting from the use of information or content of such information presented, including (but not limited to) errors or omissions, the accuracy or reasonableness of factual or scientific assumptions, studies or conclusions, the defamatory nature of statements, ownership of copyright or other intellectual property rights, and the violation of property, privacy, or personal rights of others. The CFA Society New York is not responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to, or reliance on such information. No guarantees or warranties, including (but not limited to) any express or implied warranties of merchantability or fitness for a particular use or purpose, are made by CFA Society New York with respect to such information. CFA Society New York does not endorse, approve, or certify such information, nor does it guarantee the accuracy, completeness, efficacy, timeliness, or correct sequencing of such information. All presentations represent the opinions of the presenters and do not represent the position or the opinion of CFA Society New York or its members. Reference by the presenters to any specific commercial product, process or service by trade name, trademark, service mark, manufacturer, and corporation or otherwise does not constitute or imply endorsement, recommendation, or favoring by CFA Society New York.

CFA Society New York strives to be a community for diverse opinions and differing perspectives, and the views and opinions expressed by speakers, presenters and/or organizers at events do not necessarily state or reflect those of CFA Society New York.

CFA Society New York expects all attendees to comply with CFA Society New York’s Code of Conduct while attending CFA Society New York events or meetings. CFA Society New York expressly reserves the right, in its sole discretion, to grant or deny access to any individual, or to expel any individual from any CFA Society New York event or meeting.

Inclement weather

CFANY reserves the right to cancel or reschedule all in-person events within 48 hours when inclement weather has been forecasted and travel is restricted by city officials.  The program may also be produced solely via livestream in such circumstances.  Please note the cancellation policy regarding refunds and substitutions.

Refunds, Cancellations, and Substitutions

  • 72 HOURS ADVANCED NOTICE OR MORE:
    • Full refund issued
  • WITHIN 48 HOURS OR AFTER EVENT HAS STARTED:
    • No refund

All requests for cancellation or refunds must be sent to seminars@cfany.org.

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CFA Society New York, Inc. (“CFA NY”) is not a Registered Investment Advisor, Broker/Dealer, Financial Analyst, Financial Bank, Securities Broker, or Financial Planner. While CFA NY seeks to present accurate and reliable information, CFA Society New York does not endorse, approve, or certify such information, nor does it warrant or guarantee the accuracy, completeness, efficacy, timeliness, or fitness of such information for any particular purpose. Information presented may or may not be current as of the date of the presentation, and CFA Society New York has no duty to update and maintain the information, reports, or statements made during events.

The information presented is provided for information purposes only, and is not intended to be and does not constitute financial advice, investment advice, trading advice, or any other advice, is general in nature, and is not specific to you.

None of the information presented is intended as an offer or solicitation of an offer to buy or sell, or as a recommendation, endorsement, or sponsorship of any security, company, or fund.