Yvonne_i

Insider Trading - Compliance Expert Opinion at Wall Street & Technology Journal

Yvonne Pytlik, Expert in Other
January 6 2010


Insider Trading: How Can Financial Firms Stop it?

Insider trading has been in the headlines again recently, with cases brought against the founder of Galleon Group and former directors at a Bear Stearns hedge fund.

Senior Editor Melanie Rodier spoke to Larry Tabb, founder and CEO of Tabb Group, and Yvonne Pytlik, managing partner, Global Compliance Risk Management Corp about what processes and technology financial firms can use to thwart insider trading.

Here is the link:
[wallstreetandtech.com]

Global Complaince Risk Management Corp.
245 Park Avenue, 24th Floor
New York, NY 10022
[GlobalRMC.com]

 

Yvonne I. Pytlik is a senior executive and one of industry’s most highly regarded strategists in compliance risk management and corporate governance for financial institutions. As Deputy Head of Global Compliance, Risk Management, and Strategic Planning at Deutsche Bank AG, Yvonne was responsible for global compliance risk management across all business lines, including capital markets, investment banking, asset management, and private wealth management. During her eight years at Deutsche Bank, Yvonne made significant contributions to the firm’s overall compliance organization, including the development and implementation of global compliance risk management functions in the Americas, Europe, and Asia-Pacific regions. She developed and implemented the Chief Compliance Officer Program Oversight initiatives for the asset management division.

Prior to joining Deutsche Bank in 2000, Yvonne was a Lead Senior Consultant in the Advisory and Information Risk Management Practice at KPMG, LLP. She was managing and supervising 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 a Master of Business Administration (MBA) from Suffolk University and BS in Management from University of Massachusetts. She is FINRA licensed, a Certified Public Accountant and member of AICPA. She is also a member of numerous professional risk and compliance organizations, including: KPMG Audit Committee Institute, KPMG IFRS Institute, Global Association of Risk Professionals, 100Women in Hedge Funds, Professional Risk Managers’ International Association and Risk Management Association in NYC Chapter. She is a member of Women Leadership Committee and Chairperson for Power Breakfast Committee at 85Broads, global leading organization which was originally established by executive women at Goldman Sachs. In 2009, Yvonne founded GlobalRMC compliance risk management firm and was selected by Mayor Bloomberg as one of the year’s top new firms in connection with NYC New Venture Program for Innovation and Economy Growth. She currently serves on the Governance Risk Committee at the Risk Management Association in NYC.

In November 2009, Yvonne Pytlik was a compliance expert speaker at Wall Street & Technology Journal