“Administrative & Investment Reviews--First and Second Line Oversight”

A FIRMA Member-Value Webinar

We are pleased to offer this event at no charge and exclusively to FIRMA members.

Speakers:
Cindy Eubank
Executive Director, Firmwide Fiduciary Compliance
JPMorgan Chase
Fort Worth, Texas

Sabrina Seminetta
Managing Director, Governance & Controls Lead
CIBC Private Wealth
Chicago, Illinois

Our discussion will be led by professionals who work directly within fiduciary, governance, and control environments at large financial institutions. Together, their experience spans both sides of the oversight model, offering insight into how first and second line functions can interact productively rather than operate in isolation. We will build on these concepts with practical observations drawn from real‑world oversight environments. Attendees will learn:

• Practical approaches to structuring and executing effective investment and administrative reviews, including defining scope, documentation standards, and escalation protocols
• Observations on alignment between first- and second-line oversight roles, including areas of shared responsibility and effective challenge
• Governance considerations that support consistent, transparent, and actionable review outcomes
• Lessons learned from operating and refining review frameworks within complex fiduciary organizations

The intent is not to prescribe a single model, but to share experience‑based perspectives that members can consider within their own organizational context. 

DELIVERY METHOD: Group-Internet Based Training, including interactive Q&A. Presented through the Zoom virtual platform.This session will be recorded for playback for registered attendees.

NASBA Field of Study: Regulatory Ethics
PROGRAM KNOWLEDGE LEVEL: Intermediate
PREREQUISITES and ADVANCED PREPARATION:  None

CONTINUING EDUCATION CREDITS (CEs):
Certified FIRMA Members and Cannon CFIRS®, CCTP™, CRPP™, AFIM®, CTOP®, CTA, and CTCP Professionals are pre-approved for 1.5 CEs for this Virtual Seminar. The ABA has pre-approved the following CEs: CTFA, CERP and CRCM 2.0.  NASBA has approved 1.5 Group Internet Based credits. Check with your credentials provider for specific applicability. 

The Fiduciary and Investment Risk Management Association, Inc.™ (FIRMA) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:www.NASBAregistry.org.

CANCELLATION/REFUND and COMPLAINT RESOLUTION POLICY
FIRMA reserves the right to change speakers or reschedule or cancel sessions when necessary.  For more information regarding seminar administrative policies such as complaint or refund, please contact our offices at 770-790-8355.

REGISTRATION DEADLINE IS JUNE 18TH

REGISTER NOW