BEKKER COMPLIANCE INSTITUTE (BCI)
BCCP delivers interactive education and training solutions through Bekker Compliance Institute (BCI), BCCP’s education and training arm. Our A-Team of Senior Consultants, Instructors & Subject Matter Experts includes: lawyers, auditors, economists, risk managers, university professors, scholars, and IT professionals.
Our 2010 BCI course catalog contains an extensive list of the topics and titles that we have in our voluminous library of training materials and resources. ALL of the courses listed in the BCI course catalog are comprised of live training and webcasts we have delivered to our esteemed clients; it also contains a list of topics and titles for which we have a already have library of prepared training materials “on the shelf,” ready for client customization. Please contact us if you would like for us to send you a copy of our 2010 BCI course catalog.
ENTREPRENEUR, 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 global solutions to the financial services industry worldwide, including: Regulatory Compliance, Risk Management, Governance, Ethics, Auditing, Technology, Financial and Nonfinancial Due Diligence, and Training.
Carrie is a global financial services veteran with 28 years legal and regulatory compliance experience that she derived over the course of her illustrious career. Carrie spend the first 15 years of her profession as Corporate/Securities Law Senior Paralegal/Supervisor, Legal Executive, and Global Offshore Incorporations Supervisor positions in law firms, corporate law departments, and trust companies, both in the United States and internationally. Over the past 12 years, Carrie has held diverse high-ranking positions, including Assistant Vice President, Anti-Money Laundering Compliance Officer, and Compliance Director of several well-known global financial services conglomerates, including: AEGON/Transamerica (where she served as AVP and AML Compliance Officer for the entire Fund Complex), Pacific Life Insurance Company (Compliance Project Manager), and AIG Sunamerica Retirement Markets (Director of Variable Annuity Compliance).
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cbekker@bccp-llc.com
FACULTY MEMBERS & INSTRUCTORS FOR BCI
Charles H. Adams
Faculty Member & Instructor
Charles is a Faculty Member & Instructor at Bekker Compliance Institute ("BCI"). Early in the evolution of the loan syndication business in the mid 70's. Charles Adams 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.
Kenneth Barden - CAMS
Faculty Member & Instructor
Kenneth Barden is a Faculty Member & Instructor at Bekker Compliance Institute ("BCI"). Mr. Barden is an attorney with over 25 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, Mr. Barden 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.
Mr. Barden began his career as a municipal attorney in the United States. During that time, he was legal counsel to several tax agencies and was involved in the auditing and collection of tax delinquent accounts. Subsequently, he became tax counsel to the Ministry of Finance for the Republic of Palau, where he continued his efforts at auditing and collecting, as well as developing policies and procedures and conducting training. Mr. Barden was selected as the Acting Chair of Palau's Banking Law Review Task Force which spearheaded the development and passage of banking regulatory laws in Palau, as well as establishing that country's Financial Institutions Commission. He also served as Palau's first coordinator of its Financial Intelligence Unit.
Antone A. Balbo, PMP
Senior Consultant - BCCP
Faculty Member & Instructor - BCI
US Tristate Division 
Antone Balbo (New Jersey) is a Senior Consultant at Bekker Compliance Consulting Partners, LLC (BCCP). 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
Senior Consultant - BCCP
Faculty Member & Instructor - BCI
US Tristate Division
James Yoakum (New Jersey) is a Senior 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
Faculty Member 
Jennifer Bergenfeld 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.
Before joining Alliance Bernstein in 2002, Ms. Bergenfeld provided guidance as Regulatory Counsel and Assistant Vice President at Keefe Bruyette & Woods/KBW Asset Management on both the corporate finance/trading and asset management sides of the business. She also held positions at several bulge bracket financial services firms. She is Series 7 and Series 63 licensed and is a member of the New York Bar, 1st Department.
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.
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
Rob McDonough a Faculty Member & Instructor at Bekker Compliance Institute ("BCI"). He is the President and CEO of Strategic Financial Solutions, Inc., a financial services consultancy. He specializes in financial safety and soundness and risk management consulting and training. He is also an instructor for many organization and industry groups including the Federal Reserve System, the FDIC, the Bank Administration Institute, the Institute of Internal Auditors, and regional Chartered Financial Analyst (CFA) associations.
Rob was with the Federal Reserve System for twelve years as an economic analyst and a safety and soundness examiner. His primary focus was regulatory policy development as well as assessing the condition of large complex domestic and international financial institutions. He also chaired a Federal Reserve System-wide committee to design, develop and deliver training for selected capital markets examiners across the country.
Rob oversight of the capital markets activities of large internationally active banks included a focus on structured financial transactions such as securitized mortgages and other asset-backed securities, as well as structured notes with embedded derivatives such as caps, floors, collars, and swaps.
During his tenure at the Federal Reserve System Rob participated in the Shared National Credit Program (SNC). This program was established in 1977 by the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency to provide an efficient and consistent review and classification of any large syndicated loan. The program covers any loan or loan commitment of at least $20 million that is shared by three or more supervised institutions.
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, Russia, Singapore, South Africa, Trinidad and Tobago, the U.K., and Zimbabwe.