Institute for Compliance in Financial Markets

Contact Information

Institute for Compliance

Felice Batlan, Director
565 W. Adams St., Room 765
Chicago, IL 60661
fbatlan@kentlaw.iit.edu
P: (312) 906-5341

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Institute for Compliance

Mission

The Institute for Compliance promotes careers in financial compliance, trains and prepares students for such careers, increases knowledge of the importance of compliance, and provides various events for the Chicago-based compliance and legal community. It is the first institute of its kind located in a law school.

Upcoming Events

4th Annual Full Day BSA/AML Conference

Friday, October 3, 2014, 8:30 AM - 4:00 PM
Auditorium

The AMLA and Institute for Compliance in Financial Markets at IIT Chicago-Kent College of Law present a full day BSA/AML conference.

Is your financial institution prepared to meet the global challenge of terrorism and terrorist financing risks? What are the connections between terrorism, extremism, separatism and crime (including drug trafficking)? What are some ways to identify, analyze and investigate fraud? What is required under the recently proposed FinCEN beneficial ownership customer due diligence?

Large banks are no longer willing to accept risks related to MSB's. How does that decision affect smaller financial institutions and what should you be aware of? Stay current on recent enforcement issues and trends occurring within financial institutions and much more! This conference will prepare you to be one step ahead.

Visit the event page for more information, including a full agenda and list of speakers.

Click here to register online.

Compliance Career Chat with Kurt Newsom and Faith-Ann Chen

Kurt NewsomFaith-Ann Chen

Tuesday, October 7, 2014, 12:00 PM
Room 305

Join us for pizza and a conversation with Kurt Newsom and Faith-Ann Chen about their careers at Geneva Advisors, LLC. 

Kurt is the General Counsel and Chief Compliance Officer overseeing the legal and regulatory work for the firm. Previously, he was the General Counsel and Chief Compliance Officer for Dearborn Partners, LLC, a Registered Investment Advisor in Chicago. Faith is the Compliance and HR Associate at Geneva and supports both Kurt Newsom and Amy Boyle, Director of HR and Communications. In her role, Faith handles employee-related matters and regulatory issues for the firm.

6th Annual Conference on Futures and Derivatives

Friday, October 17, 2014, 8:55 AM - 4:15 PM
Auditorium

IIT Chicago-Kent's CLE office presents an annual practical update on recent legal, regulatory and enforcement developments for lawyers and compliance officers. Join us for a day of practical and informed discussion on the most recent legal, regulatory and enforcement developments affecting futures and derivatives practice.

Please visit the event page for more information. Click here to download an event brochure.

Registration Fees:
Before Friday, October 10, 2014 - $405.00 per person
Regular Registration Fee - $445.00 per person
Alumni Price: $335.00 per person
Government Price: $335.00 per person
Click here to register.

>> Learn more about the Institute of Compliance's past events.

Elements of the Institute

Lecture Series

The Institute for Compliance holds a number of lectures and conferences related to current issues involving compliance. These events provide free CLE credit and are open to the public. 

Compliance Career Conversations

Chicago-Kent has numerous alumni who work in compliance—some in very senior positions. Using these connections, the Institute hosts a series of relatively informal discussions about careers in compliance for students and alumni.

Traders at the American Stock Exchange in New YorkClasses

The Institute for Compliance has created a curriculum for those students interested in compliance. The Institute arranges for a number of semester-long courses that are offered to IIT Chicago-Kent students. Chicago-Kent course offerings include Introduction to Compliance, Futures and Derivatives Regulation, Securities Regulation, Banking Regulation and Business Ethics.

Internships and Externship Opportunities

Internships and externships in compliance departments are crucial for training students so they acquire real-word, everyday experience regarding how compliance departments function and the types of issues those departments handle. The Institute for Compliance seeks to foster and find compliance-related internship and externship opportunities for Chicago-Kent students. 

Board of Advisors

The Institute's Board of Advisors consists of leading practitioners in the compliance field, including general counsels at major investment banks, numerous chief compliance officers, partners at law firms, and former regulators.

Leadership

Professor Felice Batlan is director of the Institute for Compliance. She can be reached at fbatlan@kentlaw.iit.edu.

Abby Schwartz Eisenberg is assistant director for the Institute for Compliance. She can be reached at aeisenb3@kentlaw.iit.edu.