Expert Profile
Lisa Marsden
President and Founder, Coulter Strategic Services
Lisa M. Marsden, IACCP ®, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and compliance consulting firms with compliance and project management services as well as customized compliance training. Prior to starting her own firm, Ms. Marsden was a partner and member of the C-Suite at Financial Advisory Firms in Boca Raton Florida. She has been in the financial services industry for over 25 years.
Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate, issued by the CFA Institute. She currently serves on the executive committee of the Financial Planners Association of Greater Fort Lauderdale.
Trainings by Expert
How to Effectively perform due diligence on outsourced vendors and Navigating SEC and Federal Regulations of Cybersecurity
Category:
Banking and Financial Services
,
Risk Management
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Corporate Governance
,
Internal Audit & Control
,
Regulatory Requirements
,
IT Regulations
,
Audit & Inspection-Role
,
IT Audit
,
Regulatory Affairs
,
Financial Services and Trading
Third Party Vendor Risk Assessment for Financial Firms - Rules, Regulations and Best Practices
Category:
Banking and Financial Services
,
Risk Management
,
SOX Compliance
,
Banks and Credit Unions
,
Financial Fraud
,
Risk Management & Controls
,
Financial Risk Management
,
Audit & Inspection-Role
,
Financial Audit
,
Documentation and Policy Management
,
Banking & Finance
,
Finance, Sox & Internal control
,
Financial Services and Trading
Investment Advisors' Investment Policy Statement (IPS) - Rules, Regulations and Best Practices
Category:
Banking and Financial Services
,
Risk Management
,
SOX Compliance
,
Banks and Credit Unions
,
Accounting and Taxation
,
Financial Fraud
,
Risk Management & Controls
,
Financial Risk Management
,
Audit & Inspection-Role
,
Financial Audit
,
Documentation and Policy Management
,
Banking & Finance
,
Finance, Sox & Internal control
,
Insurance
,
Financial Services and Trading
Application for Investor Advisor Registration - ADV Part 1, Part 2A, Part 2B and More
Category:
Banking and Financial Services
,
Risk Management
,
Banks and Credit Unions
,
Financial Fraud
,
Risk Management & Controls
,
Financial Risk Management
,
Audit & Inspection-Role
,
Financial Audit
,
Documentation and Policy Management
,
Banking & Finance
,
Finance, Sox & Internal control
,
Financial Services and Trading
2016 Financial Regulator Priorities - SEC, FINRA, and State Regulators
Category:
Banking and Financial Services
,
Risk Management
,
SOX Compliance
,
Banks and Credit Unions
,
Financial Fraud
,
Risk Management & Controls
,
Financial Risk Management
,
Audit & Inspection-Role
,
Financial Audit
,
Documentation and Policy Management
,
Banking & Finance
,
Finance, Sox & Internal control
,
Financial Services and Trading
The Custody Rule for Financial Firms
Category:
Banking and Financial Services
,
Risk Management
,
SOX Compliance
,
Banks and Credit Unions
,
Accounting and Taxation
,
Accounting/ Reimbursement fraud
,
Financial Fraud
,
Risk Management & Controls
,
Financial Risk Management
,
Audit & Inspection-Role
,
Financial Audit
,
Documentation and Policy Management
,
Banking & Finance
,
Finance, Sox & Internal control
,
Financial Services and Trading
,
Accounting Audits
Preparing a Financial Industry Compliance Manual and Code of Ethics
Category:
Banking and Financial Services
,
Risk Management
,
SOX Compliance
,
Corporate Governance
,
Banks and Credit Unions
,
Internal Audit & Control
,
Board of Directors
,
Ethics, Fraud & Corruption
,
Policies and Processes
,
Corporate Governance Laws
,
Audit & Inspection-Role
,
Financial Audit
,
Documentation and Policy Management
,
Banking & Finance
,
Finance, Sox & Internal control
,
Compliance & Ethics
,
Regulatory Affairs
,
Financial Services and Trading
The Overall Annual Compliance Review - Latest Advisers Act
Category:
Banking and Financial Services
,
Risk Management
,
SOX Compliance
,
Corporate Governance
,
Banks and Credit Unions
,
Board of Directors
,
Ethics, Fraud & Corruption
,
Regulatory Requirements
,
Corporate Governance Laws
,
Risk Management & Controls
,
Financial Risk Management
,
Audit & Inspection-Role
,
Internal Audit
,
Financial Audit
,
Finance, Sox & Internal control
,
Compliance & Ethics
,
Financial Services and Trading
The Department of Labor's Fiduciary the New Final Rule - Best Practices for Conducting a Due Diligence and Reviewing the Best Interest Contract Exemption
Category:
Banking and Financial Services
,
Risk Management
,
SOX Compliance
,
Corporate Governance
,
Accounting and Taxation
,
Board of Directors
,
Ethics, Fraud & Corruption
,
Regulatory Requirements
,
Corporate Governance Laws
,
Risk Management & Controls
,
Corporate Risk
,
Audit & Inspection-Role
,
Internal Audit
,
Finance, Sox & Internal control
,
Compliance & Ethics
,
Regulatory Affairs
,
Financial Services and Trading
,
Accounting Audits
Ethics in the Financial Services Industry
Category:
Banking and Financial Services
,
Risk Management
,
SOX Compliance
,
Corporate Governance
,
Banks and Credit Unions
,
Accounting and Taxation
,
Financial Fraud
,
Internal Audit & Control
,
Board of Directors
,
Ethics, Fraud & Corruption
,
Finance, Sox & Internal control
,
Compliance & Ethics
,
Insurance
,
Financial Services and Trading
,
Accounting Audits
