Operating in the Gray: Balancing Risk Tolerance with Business Objectives

Tammy Eisenberg has over 20 years of experience providing compliance and legal advice to financial services firms of all sizes and scopes. Her expertise includes FinTech, investment management, BaaS, investment banking, information barriers, conflicts of interest and other key issues impacting financial services providers.

Most recently, she has been affiliated with Goalsetter, Jefferies/M Science, Stash, BNY Mellon, CLS Bank and DIAM USA Inc., a subsidiary of Mizuho Financial Group. She has been a featured speaker at the Association of Internal Bank Auditors Quarterly Meeting (March 6, 2014), American Bar Association “Is the DOJ and SEC War on Insider Trading Rewriting the Rules” (September 23, 2011), American Bar Association Third Annual FCPA Update (December 9, 2010), Frontline Compliance Forum - Compliance Now – Myth vs. Reality (October 21, 2010), IA Watch Compliance Summit 2010 – Innovative Techniques to Spruce Up Your Compliance Training (March 26, 2010), IA Watch Webinar – Best Practices to Combat Insider Trading (December 15, 2009) and was published in the Journal of Securities Law, Regulation and Compliance – Developing Effective Compliance Training for Investment Advisers (July 2010). Tammy is a graduate of Widener Commonwealth School of Law (1995).

Adam M. Tomiak is a Member of the Firm in the New York office at Epstein Becker & Green (EBG), a full-service national law firm with areas of concentration in Employment, Labor & Workforce Management; Health Care & Life Sciences; and Litigation & Business Disputes. Adam focuses on providing employers and human resource departments with practical and effective solutions to their personnel issues. He regularly advises on all stages of the employment relationship, from pre-employment considerations and hiring to terminations and post-employment restrictions. An experienced trainer, Adam develops and conducts workplace training seminars for employees, managers, and human resources personnel. He also investigates allegations of employee misconduct and grievances. Prior to his time at EBG, Adam served as employment counsel for the Americas at a global financial services institution for nearly a decade.

Stephanie Shack lives to negotiate a deal: a real estate attorney, Stephanie honed her real estate transactional skills as senior vice president and general counsel for a national nonprofit specializing in affordable housing and as senior vice president and associate general counsel at a publicly traded REIT. After moving to Baltimore to start her career as an attorney for a global law firm, she decided that working in-house provided her the most opportunity for growth, allowing her to develop her expertise in portfolio strategy and risk, investment and asset management as well as real estate and private equity funds. Currently she is General Counsel and SVP of Continental Realty Corporation, a privately-owned and operated real estate investor that acquires and manages multifamily communities and high-quality retail and office space in 12 states across the country.

Jonathan Sussman is an experienced regulatory attorney overseeing Regulatory Compliance, HR Compliance, and Insurance for Studs, a national ear piercing company operating thirty body art studios across the country. Prior to Studs, Jon concentrated on Health Law, first working at the United Nations Office of Project Services and Montefiore Medical Center. Jon earned his JD from Seton Hall University School of Law and a BA in English and Philosophy from Franklin and Marshall College.

As Deputy General Counsel at Compass, Timothea Letson oversees Litigation, Employment, Risk Management and Corporate Insurance.

Prior to Compass, Timothea worked at Kramer Levin Naftalis & Frankel LLP in their Employment Group and spent time on secondment at Facebook. She was also a Litigation Associate at Sullivan & Cromwell LLP where Timothea was seconded to Barclays following the Lehman Brothers asset acquisition.

Timothea earned a JD from Northwestern Pritzker School of Law and a BA in Political Science from The Ohio State University. Prior to attending Northwestern, Timothea was a Congressional Finance Director, working on campaigns in Oregon, Washington DC and South Dakota.