Featuring You - Todd Cipperman - The Compliance Advantage



With some humor breaks added in, Todd Cipperman shows us that it is actually possible that one human being knows this much about compliance. It's one of the reasons he is one of the most sought-after compliance and legal professionals in the financial services industry.


Todd spent over an hour with me on The Best Ever You Show talking about everything from his book and ten compliance trends to the his take on a variety of much-talked about topics, such as Cryptocurrency, Bitcoin and Blockchain, as well as various practical advice for Chief Compliance Officers and staff.


To listen on free replays and/or share the show, click: Todd Cipperman - The Compliance Advantage


Tell us about yourself.

I have been married 27 years (to the same person). I am the father of two teenage daughters. I am a lawyer (Univ. of Penn Law School ’91) and a graduate of Cornell Univ (ILR ’88). I grew up in Buffalo, so I am a dedicated Buffalo Bills fan. I have lived in Philadelphia for most of my working life, so I am also a dedicated Flyers hockey fan. I enjoy cooking, golf, playing guitar, yoga, reading long books, and spending time in the summer at the Jersey shore.


How did you get to be where you are today?

A series of fortunate events. I decided to start my own law firm back in 2003 rather than join a large local firm. As a result of some great advice from friends, my firm morphed into one of the largest compliance services firms in the financial services industry.


Have you ever been fired?

Not technically. However, my former employer and I suddenly decided that the firm would begin searching for my replacement to allow me to pursue other interests. That event led me to start my firm.


What are your real passions?

My family. The Bills. The Flyers. Learning from smarter people.


If you won the lottery, what would you do?

Create a foundation and fund causes that need funding especially those involving hunger and sick children.


What do you do to help others be their best?

Ask them. Rather than criticize, I like to ask people if they can do better. I ask them to challenge themselves to be great rather than just checking chores off their list.


How do you help yourself be the best you can be?

Go slower. When I move too fast or act too rashly, it is usually a mistake.


What do you like to do in your personal life?

Because I run my own firm, my business and personal life are very intertwined. I love my work. I love the people who have trusted me to come work in my firm. I love my family more than life itself.


What do you hope to accomplish in the future?

I would like to write and teach to share my knowledge to make it easier for others.


What is a book or two that you recommend?

The Obstacle is the Way. (Ryan Holiday)

American Gods. (Neil Gaiman)


Please give us one or two shameless plugs.

Cipperman Compliance is one of the largest and best compliance outsourcing firms in the investment management industry.


What are some of your favorites? (books, websites, etc..)

I love political and military biography.

I read the Wall Street Journal and the New York Times every day.

I also listen to books on audio when I am in the car.

I also love historical podcasts.


Why do you do what you do?

I love the intellectual challenge.


What are a few of your goals?

Transfer what I have learned to the next generation.


What do the words "Best Ever You" mean to you?

The process of constantly improving whether its physical, emotional, or psychological.


More about Todd Cipperman:



Todd Cipperman is the founding principal of Cipperman Compliance Services (CCS). Since 2004, CCS and its affiliates have helped advisers, broker-dealers, and funds protect their franchises through the development, implementation, and operation of customized compliance programs that include ongoing review, testing, management, training, and regulatory response. CCS leverages the experience of a multi-disciplinary team and takes full accountability for its advice and services. 


Mr. Cipperman has over 25 years of experience in the investment management and financial services industries. He has represented a wide range of investment management clients with a focus on distribution issues facing investment managers and broker-dealers. He previously served as general counsel of SEI Investments, a public mutual fund and financial technology firm, including its $65 Billion proprietary mutual fund family. He spent several years in private practice on Wall Street representing both buy and sell side clients in investment management and capital markets transactions.


He is a graduate of the University of Pennsylvania Law School and Cornell University.

Mr. Cipperman is the author of the "Our Take" Regulatory Alerts, which provide daily updates on important industry developments via e-mail.  



He is also the author of the book The Compliance Advantage: Ten Must-Know Trends to Protect Your Investment Firm, which will soon be available in hard copy and in digital format on Amazon.


You can find more information at www.cipperman.com


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