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Lisa M. Marsden

Lisa M. Marsden, IACCP, is Keynote speaker at Compliance Key, Inc. She is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with compliance and project management services.
Prior to that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida. She has been in the financial services industry for over 25 years.
Ms. Marsden has a broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operations.
Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation and Claritas Investment Certificate. She was the chief compliance officer/chief technology officer at Steinberg Global Asset Management, Boca Raton Florida and also held positions in the banking trust industry at Midlantic National Bank and Trust, Comerica Bank & Trust and Barnett Bank Asset Management.
Ms. Marsden leads two extremely intelligent groups of local compliance and IT professionals with the goal to help educate themselves, their firms and each other in the area of cyber security and compliance regulation as it pertains to the financial area. She serves on the executive committee of the Financial Planners Association of Greater Fort Lauderdale, and has moderated a cyber-security panel consisting of a Certified Ethical Hacker and Securities and Exchange Commission Examiner for the FPA of Greater Fort Lauderdale's annual conference, conducted training sessions on the financial regulations regarding cybersecurity.


 Webinar Id: CIFLP008
 6 months unlimited
 Duration 60 mins

Preparing a Financial Industry Compliance Manual and Code of Ethics and the Overall Annual Compliance Review

Building or Strengthening your firm's Compliance Program? Attend our virtual seminar on the best practices for preparing the manual, code of ethics and conducting the required annual review. You will receive tools to help build or strengthening your compliance program.

$167 Recorded (6 months unlimited access)
 Webinar Id: CIFLT007
 6 months unlimited
 Duration 60 mins

Third Party Vendor Risk Assessment for Financial Firms - Rules, Regulations and Best Practices

This training program will examine who are third party vendors and analyze why it is critical to prepare a risk assessment for third parties. The course will also offer an overview of the potential risks a third party vendor may impose on your firm.

$167 Recorded (6 months unlimited access)
 Webinar Id: CIFNLM003
 6 months unlimited
 Duration 60 mins

Third Party Vendor Risk Assessment for Financial Firms - Rules, Regulations and Best Practices

This training program will examine who are third party vendors and analyze why it is critical to prepare a risk assessment for third parties. The course will also offer an overview of the potential risks a third party vendor may impose on your firm.

$167 Recorded (6 months unlimited access)
 Webinar Id: CIFNLM002
 6 months unlimited
 Duration 60 mins

Navigating the Financial Regulations of Cybersecurity.

Computer Intrusions are the cyber actor's portal to invade and burglarize homes and business across the nation and the threat will only continue to grow. The Financial Industry is faced with increasingly complex threats almost daily. These threats challenge traditional models of law enforcement, IT Management and Regulations. The SEC's Cyber Sweep Exam is not only another regulatory task for Financial Advisors but also serves as an outl........

$167 Recorded (6 months unlimited access)
 Webinar Id: FSLM001
 6 months unlimited
 Duration 60 mins

Navigating the Financial Regulations of Cybersecurity

Computer Intrusions are the cyber actor's portal to invade and burglarize homes and business across the nation and the threat will only continue to grow. The Financial Industry is faced with increasingly complex threats almost daily. These threats challenge traditional models of law enforcement, IT Management and Regulations. The SEC's Cyber Sweep Exam is not only another regulatory task for Financial Advisors but also serves as an outl........

$167 Recorded (6 months unlimited access)


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