Josh Shapiro, Pinebridge Investments, VP and Head of Regulatory, Core and Marketing Compliance for the Americas

In A Global Marketplace, Adopt Strategies To Simplify Global Compliance

  • When compliance approval depends on receiving reviews from multiple people, somebody should have the role of comment aggregator to ensure timely review.
  • Design your workflow so that compliance team members can focus on compliance issues that are most important for the pieces they are reviewing.

“The marketing library contains only approved materials. If something’s in the library, any team in the world can pull it and use it with confidence.”

As head of the Americas Core Compliance Group at PineBridge Investments, a global asset manager, Josh Shapiro oversees core compliance for North, South, and Central America. His job includes handling regulator registrations and filings as well as marketing compliance reviews. Shapiro’s group is part of a global compliance team of 30 people who serve all jurisdictions in which PineBridge operates.

This is an excerpt from 10 Experts on Marketing Compliance. The eBook was generously sponsored by Workfront.