BEKKER COMPLIANCE INSTITUTE (BCI)
BCCP delivers interactive education and training solutions through Bekker Compliance Institute (BCI), our education and training arm. Each of our customized, interactive courses is focused on "real world" international best practices combined with a special emphasis on local laws and cultural norms. Please contact us if you would like a copy of our BCI 2012 course catalog.
Onsite Training Services for Institutes in Asia, the Middle East, and the United States -- 2012 Courses and Workshops: Below is a sampling of our most popular interactive workshops:- Advanced Certificate in Credit Management (ACCM)
- Bank Asset Liability Management (ALM)
- Basel III: Implications for Market, Credit, and Operational Risk Management
- Enterprise Risk Management (ERM)
- Forensic Audit and Fraud Detection
- Internal Capital Adequacy Assessment Process (ICAAP)
- Money Laundering & Financial Crime Deterrence
- Operational Risk Management (ORM)
- Risk Assessments for Derivatives: Products, Strategies & Operations
- SME Credit Scoring and Basel II compliance
- Valuation of Distressed Assets and Businesses
FOUNDER & CHIEF EXECUTIVE OFFICER
CARRIE F. BEKKER
Carrie Bekker is Founder and Chief Executive Officer of Bekker Compliance Consulting Partners, LLC (BCCP), a full-service consulting firm that specializes in providing customized boutique-style global financial solutions to banking and nonbanking organizations worldwide. Our range of services include: Regulatory Compliance, Risk Management, Governance, Ethics, Auditing, Technology, Due Diligence, and Training from both an international best practices perspective and also taking into account local laws and cultural norms. BCCP also delivers interactive education and training solutions through Bekker Compliance Institute (BCI), BCCP's education and training arm.
Carrie is a global financial services veteran with 30 years legal and regulatory compliance experience, derived from her tenure as a Corporate/Securities Paralegal in law firms, corporate law departments, and trust companies in the United States and internationally. Carrie has also held Senior Compliance Officer positions with several global financial conglomerates, including AEGON/Transamerica, Pacific Life, and AIG Sunamerica.
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cbekker@bccp-llc.com
FACULTY MEMBERS & INSTRUCTORS
Charles ("Chuck") H. Adams
Expertise: Transactional Finance, Commercial Banking, International & Cross Border Business, Financial Management, Corporate Governance & Entrepreneurship
Chuck Adams (San Francisco) is an Executive Consultant with BCCP and a Faculty Member & Instructor with BCI. Early in the evolution of the loan syndication business in the mid 1970s, Chuck was an Associate Director at the newly established Chase Manhattan Asia Limited, a Hong Kong-based merchant bank wholly-owned by The Chase Manhattan Corporation. Chase Manhattan Asia Limited became one of the three biggest loan syndicators in that part of the world. In the three-year period 1977-1979, Charles Adams developed and led more than $2 billion in loan syndications for governments and private sector clients in Indonesia, Singapore, Malaysia and other parts of Asia. Chuck has lived in nine countries, has done business in another 24, and has visited a total of 82 countries. Chuck holds a Graduate Degree from Stanford University School of Business and a Bachelor's Degree from the University of Virginia. Chuck also served in the US Army as an Artillery Officer, Airborne Units in Germany and Vietnam.
Kenneth ("Ken") Barden, CAMS
Expertise: Corporate Governance, Public Integrity, Anti-Money Laundering Compliance, & Regulatory Assistance
Ken Barden (Manila) is an Executive Consultant with BCCP and a Faculty Member and Instructor with BCI. Ken is an attorney with over 30 years of experience in both the public and private sectors. He is a Certified Anti-Money Laundering Specialist and a member of the Association of Certified Anti-Money Laundering Specialists (ACAMS). In addition to his law degree, Ken holds a Masters in Business Administration (MBA), as well as a Post-Graduate Diploma in Islamic Banking and Insurance from the Institute for Islamic Banking and Insurance in London. He was one of the first persons with a CAMS designation who also had post-graduate studies in Islamic finance. During his career, Ken has been involved in a number of activities related to the finance and development sectors, including the negotiation, development and review of major loan and financing projects for both private and public improvements, tax and public fund administration, and in developing programs to ensure integrity and stability in financial markets. He has provided technical assistance in development and implementation of compliance regimes in Europe, Asia and the Middle East.
Antone A. Balbo, PMP
Expertise: Risk Management, Project Management, Operations & System Implementation
Antone Balbo (New Jersey) is a Executive Consultant with BCCP and an Instructor with BCI. Antone's background is primarily in the financial services/securities industry, with a concentration in the area of life insurance and annuity products. He has spent the majority of his career with Prudential Financial (formerly Prudential Insurance) building experience in a number of roles. These included Regulatory Compliance, Operational Risk Management, Business Analysis, Project Management and Systems Implementations. More recently he has been involved in providing consulting services for financial services firms, primarily focused in retail broker/dealer areas.
Antone has extensive experience in working with FINRA and SEC requirements of retail financial services firms, and have worked on multiple projects that have addressed firm shortcomings in these areas. He has been project or program leader for numerous compliance systems implementation projects. For most of those projects he was also the lead business analyst. He has significant experience in designing and implementing internal control protocols and processes during my years in Operational Risk Management, which transfers very well to addressing Sarbanes-Oxley (SOX) requirements.
JAMES A. YOAKUM
Executive Consultant - BCCP
Faculty Member & Instructor - BCI
US Tristate Division
James Yoakum (New Jersey) is a Executive Consultant at Bekker Compliance Consulting Partners, LLC (BCCP). An accomplished executive leader with over twenty years of diversified (financial services, insurance, manufacturing, non-profit/tax exempt organizations, consulting and governmental) experience in risk management, internal control, regulatory affairs, operations and systems, law, compliance and taxation/accounting. Many successes achieved in managing the creation of new or changing/evolving functions and managing projects in resolution of significant issues. Strong project management skills, using an inherent logical thought process honed by many years of technical training, were germane to these successes. Possess the ability to manage human resources in a changing environment, with passion, creativity, results-orientation and self-motivation.
Jennifer Bergenfeld
Curriculum Director 
Jennifer Bergenfeld (New York) is a financial services legal and regulatory expert and has been affiliated with Bekker Compliance Institute (BCI) since 2008. She also serves as Adjunct Associate Professor in New York University's Stern School of Business, Professional Responsibility/Markets, Ethics & Law program and Editor of the Journal of Securities Law, Regulation and Compliance. In Fall 2008, she left AllianceBernstein L.P., a leading global investment where she had been Vice President/Counsel in the Corporate Legal Department of AllianceBernstein L.P. overseeing investment advisory legal/regulatory affairs and providing support to the firm's buyside brokerage desk and sellside brokerage committee.
William Cavalier
Faculty Member & Instructor
Bill is a Faculty Member & Instructor at Bekker Compliance Institute ("BCI"). Currently involved in the structure, execution and distribution of direct investments in natural resources including oil & gas, minerals and water rights investments. Mr. Cavalier is an active member of the California State Bar and specialized in structure, execution and wholesale distribution of private placement investments. Experienced and successful hedge fund manager. Expert consultant in matters of securities and broker fraud since 1988 including appearances in Federal Court, criminal trials, CFTC hearings and all arbitration venues. Trained mediator. Member FINRA arbitration panel.
Siobhan Fitzgerald
Faculty Member & Instructor.
Expertise: Compliance, Banking Fraud & Anti-Money Laundering
Siobhan Fitzgerald, CFE (Boston) is an Executive Consultant with BCCP and a Faculty Member & Instructor with BCI. She has over 20 years financial services experience, the last 15 years of which focused on compliance. Siobhan managed the largest market group in the country, consisting of compliance supervision of 23 OSJs and over 600 advisors for Ameriprise Financial. During her tenure she worked closely with federal and state regulatory authorities, resolving customer disputes and responding to policy inquiries. Siobhan is also a Certified Fraud Examiner (CFE) and has provided expert witness testimony at FINRA arbitrations. CFEs have the ability to examine data and records to detect and trace fraudulent transactions; interview suspects to obtain information and confessions; write investigation reports, advise clients as to their findings and testify at trial; be well-versed in the law as it relates to fraud and fraud investigations; and understand the underlying factors that motivate individuals to commit fraud. CFEs on six continents have investigated more than 1 million suspected cases of civil and criminal fraud. Siobhan holds a Bachelor of Arts Degree from Harvard University in Cambridge, Massachusetts. She also served in the United States Navy and is a Certified Legal Yeoman USN.
Keith Kessel
Executive Consultant & Instructor
Western Europe Division
Keith Kessel has 18 years broad and specialized experience in business law, which he derived through a variety of compliance, legal, risk management/audit and executive responsibilities for securities broker/dealers, investment advisers, investment companies, insurance companies/agencies, investment banks, stock exchanges & securities clearing agencies. Keith routinely works with organizations that interested in further developing and executing their business models by participating as a third party advisory and/or team member, depending on each client's unique needs. Keith has strong leadership, management and organizational skills, has a robust work ethic and the ability to motivate and rally a team around the organizational mission.
Eric Halperin
BCI Faculty Member & Instructor
US West Coast Division
Expertise: Renewable Energy, Cleantech & Sustainability
Rick Halperin (San Diego) is an Executive Consultant with BCCP and a Faculty Member & Instructor with BCI. Rick has extensive executive experience covering a diverse spectrum of skill sets including financial and operational management, strategic planning, business development, and supporting entrepreneurial endeavors. His core areas of expertise are "green" industries and "socially responsible" initiatives - including direct renewable energy project development, cleantech business development, and sustainability initiative project management. Rick Halperin is also President and Founder of Advisory One, a multi-disciplinary sustainability consulting firm located in San Diego. Advisory One is an extension of Rick's 25-year career which has had as it ongoing focus creating value for clients and companies including new and established cleantech enterprises, renewable energy projects, sustainability initiatives, and environmental organizations. Rick is a CPA registered in both California and Maryland and holds an MBA in Finance from George Washington University as well as Bachelor's degrees in Environmental Studies and Geography from the University of California in Santa Barbara.
Robert J. Conlon
Faculty Member & Instructor
Robert Conlon is a Faculty Member & Instructor at Bekker Compliance Institute ("BCI"). He has expertise in all phases of business continuity, disaster recovery, pandemic planning, recovery testing and project management. His industry experience includes financial, healthcare (hospitals), academia, and manufacturing. In addition, he has extensive knowledge in data center management.
Most recently, during his tenure with Alliance Bernstein, a financial investment company, he served as Vice President of Business Continuity Management with responsibilities both domestic and international.
Additionally, he has empowered teams to be self- driven resulting in highly successful projects, meeting deadlines and within budget. His strong interpersonal management skills along with his business recovery expertise have been instrumental in developing successful recovery strategies that protect staff, business and reduce expenses.
Robert is a member of the Continuity Planning Exchange (CPE), Disaster Recovery Institute International (DRII) and North-East Disaster Recovery Information X-Change (NEDRIX).
Robert J. McDonough
Faculty Member & Instructor
Expertise: Risk Management, Treasury, Investment Portfolio Management, Derivatives, Structured Finance & Securitization
Rob McDonough (Atlanta) is an Executive Consultant with BCCP and an Instructor with BCI. Rob specializes in risk management consulting and training. He is an instructor for many organizations and industry groups including the Federal Reserve, the FDIC, the Bank Administration Institute, and the Institute of Internal Auditors. His primary areas of specialty include Treasury and investment portfolio management, derivatives, structured finance and securitization, as well as market, credit, and operational risk management. Rob was with the Federal Reserve System for twelve years as an economic analyst and capital markets examiner and also chaired a Federal Reserve System-wide committee to design, develop and deliver training for selected capital markets examiners across the country. Rob has an MBA in Finance and Economics from Georgia State University and a BBA from Emory University in Business Administration.
He has delivered capital markets and risk management seminars and consulting services to financial institutions, trading organizations, central banks, and regulatory agencies across the U.S. as well as in Albania, Argentina, Azerbaijan, Bermuda, Canada, Croatia, Denmark, the Republic of Georgia, Hong Kong, India, Ireland, Jamaica, Jordan, Kuwait, Lebanon, Malaysia, Mexico, Morocco, the Netherlands, Poland, Portugal, Russia, Singapore, South Africa, Trinidad and Tobago, the U.K., and Zimbabwe.