Since our inception, Global Compliance Risk Management Corp. has been totally
focused on building a strategic, risk management practice.
Global Compliance Risk Management Corp., is a strategic advisory and compliance risk management firm that offers financial market participants a comprehensive methodology for analyzing, addressing, and resolving compliance risks while providing tactical solutions that support business growth.
Yvonne I. Pytlik
CEO and Managing Partner - Regulatory Compliance Consulting
Yvonne is a senior executive and one of industry’s most highly regarded strategists in compliance risk management for financial institutions. As Head of Regulatory Compliance, Risk Management and Strategic Planning at HSBC Global Asset Management and Deutsche Bank AG, Yvonne was responsible for Americas and global compliance risk management across all business lines, including capital markets, investment banking, asset management, and private wealth management. During her 25 years in the industry, Yvonne made numerous significant contributions to a number of Financial Institutions on overall compliance organizations, including the development and implementation of global compliance risk management functions in the Americas, Europe, and Asia-Pacific regions. She was also responsible for the development and implementation of HSBC’s and Deutsche Bank’s highly praised Chief Compliance Officer Program Oversight initiatives for the asset management division.
Yvonne was a Lead Senior Consultant in the Advisory and Information Risk Management Practice at KPMG, LLP, where she managed and supervised strategic business/ information risk assessment and process reengineering engagements for KPMG clients. Her experience also includes over 10 years in Internal Audit at major financial institutions, with a focus on the asset management and investment management business. Yvonne has an M.B.A. from Suffolk University and a B.S. in Management from University of Massachusetts. She is a Certified Public Accountant. She is also a member of numerous professional risk and compliance organizations, including serving at Risk Management Association – Board of Directors - Executive Committee and Audit Committee since 2012
Managing Director – Broker Dealer Compliance Consulting
George is a financial services compliance executive with a diverse regulatory and securities industry background within Global and Domestic Institutional, Retail, Fintech/Trading and Regulatory organizations including HSBC Securities (USA) Inc., MUFG Securities Americas Inc., Investment Technology Group (now part of VIRTU Financial Inc.), Nomura Securities International, Inc., Gruntal & Co and the American Stock Exchange. Throughout his career, George has developed and implemented initiatives to improve compliance processes and guided adherence to regulatory requirements, while continually seeking to enhance compliance programs. George is recognized for his leadership and knowledge in compliance and regulation based on his years of diverse experience in the securities industry. He is keen on innovative solutions, exploiting technology solutions to achieve improved compliance and supervisory controls. He has been an active member in the compliance and regulatory community serving on SIFMA’s Compliance and Regulatory Practice Committee as well as the Technology and Regulation Committee. George was Chair of FINRA’s District 10 (NY) Committee and served on the Securities Industry/Regulatory - Council on Continuing Education. He has been a SIFMA member since 1987 and has been a panelist in various workshops including the FINRA Annual Conference. George holds FINRA/NFA licenses: SIE, 3, 4, 7, 8, 14, 24, 57, 63, 99 and 79.
Carrie F. Rinehart-Bekker
BEKKER COMPLIANCE CONSULTING PARTNERS, LLC, BEKKER COMPLIANCE INSTITUTE (BCI)
CARRIE F. RINEHART-BEKKER - REGULATORY (SEC) COMPLIANCE CONSULTING
Carrie is a global compliance expert with 39 years’ paralegal and regulatory compliance experience derived from her tenure as a Legal Executive in law firms, corporate law departments, and trust companies throughout the United States and internationally. She also served as a Senior Compliance Officer with several global financial conglomerates, including AEGON/Transamerica, Pacific Life Insurance Company, and AIG Sunamerica. Carrie specializes in SEC compliance, including the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, and Investment Adviser Act of 1940. She has extensive corporate finance expertise, including handling IPOs, private placements, and M&A transactions. Her niche 1940 Acts experience includes investment adviser, hedge fund, mutual fund, and variable insurance product compliance. In addition to her SEC compliance experience, Carrie is also well versed in corporate finance and regulatory compliance in the Middle East, Europe, Southeast Asia, and the Caribbean. In her spare time, Carrie gives back to the financial services community through her involvement with pro bono and philanthropic activities. These initiatives include delivering compliance training on behalf of Financial Services Volunteer Corps, a non-profit organization that advances economic development by strengthening financial sectors in developing countries; and mentoring budding entrepreneurs through Branson Centre of Entrepreneurship – Caribbean.