In Control: A Look Inside a Brokerage Firm's Control Room*

Speaker: Leslie Stern-Johnson, Senior Director, Head of Control Room, Oppenheimer & Co. Inc.

Description: Please join us for our first lunch talk of the academic year with Leslie Stern-Johnson, Senior Director and Head of the Control Room at Oppenheimer & Co.! Ms. Stern-Johnson will discuss the role of a control room at a brokerage firm and the integral role of compliance.

Before joining Oppenheimer & Co. in 2018, Ms. Stern-Johnson spent time at a number of other financial services firms, including SMBC Nikko Securities America, RBC Capital Markets, Tigris Financial Group, Bear Stearns and Lehman Brothers. She started her legal career as an associate in the Corporate & Financial Services Practice Group at Willkie Farr & Gallagher.

*This event is part of the Compliance Speaker Series and will qualify towards the Compliance Concentration requirement.

This event is open only to the Cardozo community. Registration is required. Lunch will be provided.