GAIM Ops Cayman
April 14 - 17, 2024
The Ritz-Carlton, Grand Cayman

Kathleen Clapper
Managing Director, Compliance at National Futures Association (NFA)
Speaker

Profile

Kathleen Clapper is a Managing Director in NFA's Compliance Department. In this role, she helps oversee the department's examination, investigation, and financial surveillance programs. Prior to joining NFA, Ms. Clapper served as Chief Compliance Officer for R.J. O'Brien & Associates, LLC where she was responsible for leading a team of compliance professionals, administering the policies and procedures of the futures commission merchant (FCM) to ensure compliance with applicable rules and regulations, and developing strategic compliance initiatives. Ms. Clapper also spent more than 12 years at CME Group in roles supporting the exchange's self-regulatory organization functions, including performing financial and compliance examinations of FCMs. Ms. Clapper received a Bachelor of Science in Accountancy from the University of Illinois at Urbana-Champaign and an MBA from DePaul University. She is a Certified Public Accountant and Certified Fraud Examiner.

Agenda Sessions

  • Keynote: Changing business practices, bad actors and red flags

    9:25am
  • Chair's welcome remarks

    1:35pm
  • Roundtable discussions

    10:40am