Neshie Tiwari is the chief compliance officer for Ellevest, the investment management company for women by women, co-founded by Sallie Krawcheck in partnership with Charlie Kroll.

Ellevest was founded in 2016 as a digital financial advisory platform for women.

According to Neshie, “everyone is responsible for compliance…. and ethics.”

In the most recent “What the Elle?” Newsletter from August 21, 2018, she also described situations with potential conflicts of interest and how Ellevest published details on the possible conflicts and its mitigation in Ellevest’s Form ADV.

Other focal points for CCOs, in Neshie’s opinion, are “the benefits of diversity to build a strong business”, to “talk. A lot.” and “rules are good. A ‘true north’ is better.”

She will share her thoughts in panels and workshops at WomenInCompliance.com. While space is limited, we still have a few spots left for C-level female (and male) compliance, risk, data, tech and legal officers.

See you on September 18th.