Cybersecurity & Compliance Blog

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Investment Adviser Association
Justin Kapahi
Marc Gilman
Vanessa Valerie Tay
Workplace by OS33
Written by Vanessa Valerie Tay
on February 28, 2018

Workplace by OS33 has been in business for 15 years, providing technology expertise for wealth management firms, keeping wealth managers secure and compliant. As we continue innovating the Workplace platform, we thought a change of pace might be welcome. This is why we are introducing the first of our new Workplace Executive Spotlight series.

Our very first feature puts the spotlight on Marc Gilman. Marc joined the New York office in January 2018 as our new VP, Compliance and General Counsel.

Marc Gilman - Workplace by OS33 BW.jpeg

Marc is an attorney with experience in litigation and compliance, focusing on information technology. He is also an Adjunct Professor of Law at Fordham University where he imparts his knowledge on technology and compliance to graduate students.

Armed with a Bachelor of Arts in English, Marc started his career as a Web Server Administrator at W.W. Norton & Company publishers. He later became more interested in the legal aspects of his job after having the chance to work on matters concerning web site Privacy Policy.

“I wanted to combine my knowledge of technology with the legal and policy aspect. That’s why I decided to attend law school,” said Marc. “After graduating, I worked as an associate at a law firm. I was doing general litigation, but there was not much technology involved in that role. I knew that I wanted to go back into tech, so when an opening at Morgan Stanley became available, I took it. I worked at the Enterprise Legal Department for about seven years. The first four years were spent in the Compliance department, which involved things like drafting policies and advising on anything related to information management. The next three years were spent in the Legal Department, where I provided legal advice to internal business teams, vendors, third parties, and my colleagues in Legal.”

With increasingly strict regulatory oversight on the financial services industry, Marc also worked through many technology issues to ensure all data could be effectively captured and archived for compliance purposes.

“If someone wanted to integrate a new messaging system, I had to make sure the technology was in order to support the recording and archiving of all correspondence that was transmitted over that new system. A lot of it also involved emails and social networks, because we had an obligation to capture all that data,” said Marc.

Having spent nearly seven years at a global corporation, how then, has the transition to a smaller company like Workplace been?

“I’ve always been interested in working for a smaller tech company. So far, the best of part it is the collaborative environment. I feel like I have an impact on the legal and compliance work, as well as the broader product strategy. I get to see the entire scope of the business, and I feel really integrated into the team,” said Marc.

With Workplace’s focus on technology and alignment with the wealth management industry, Marc is indeed a great fit for the team. He brings with him a wealth of experience that is very much relevant and essential for Workplace’s core business.

In the office, Marc is often heard speaking with customers, managing any compliance-related issues or questions. “My focus is to strengthen and expand our company’s compliance capabilities to better serve our clients, so that we can have best-in-class practices,” said Marc.

As the role of cybersecurity evolves, the addition of Marc to the Workplace team could not be timelier.

“Cybersecurity has become an area that’s being scrutinized in a much broader and deeper level. Five years ago, most people were aware of the risks and had some guidelines on how to manage cybersecurity issues. As potential risks and cyber threats have continued to expand, there’s been an explosion of tools available, and whole teams devoted to managing those risks,” said Marc.

They say ‘the devil is in the detail’, and with regulatory compliance at stake, Marc draws on his BA in English for precision in his work.

“A large part of my job ties back to writing. I have to be clear at explaining what we do and how we do things. Cybersecurity is our core business and we really need to manage that risk well since we’re the ones who develop the Workplace platform, which helps wealth managers access data securely.” said Marc.

With his top-notch professionalism and a balanced dose of humility and passion, Marc is poised to take Workplace to greater heights, ensuring that we remain the leading SaaS platform for compliance and productivity enablement in the wealth management industry.

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