Lisa M. Marsden
Lisa M. Marsden
Lisa M. Marsden, IACCP, 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 cyber security.
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Conflicts of Interest in Financial Services
In the US Securities Exchange National Exam Program Risk Alert issued by the Office of Compliance Inspections and Examinations February 2017 “Five Most Frequent Compliance Topics Identified by OCIE Examinations of Investment Advisers” includes Inaccurate Disclosures of conflicts. This... -
The Custody Rule for Financial Firms
This training program explains ‘The Custody Rule’. The instructor will help you determine if your firm has custody, compliance surrounding maintaining custody and regulatory deficiencies. There have been significant deficiencies over the years since The Custody Rule was amended.... -
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... -
Navigating the Financial Regulations of Cybersecurity
This training program will equip attendees with basic everyday tools to keep cyber criminals at bay. The course will also emphasize the need for effective communication between team members of a financial firm. Computer intrusions are the cyber actor’s...
