Stern & Eisenberg Compliance Department Reengineering

The Stern & Eisenberg Compliance Department was originally established as a Risk Management function to ensure that the firm is in conformance with the client directives, state and federal laws, and court procedures. Running the compliance program requires the Firm to take a systematic approach to addressing compliance risk areas, adhering to governmental laws, rules and guidelines while involving the entire organization. “Compliance is there to drive the cultural of accountability within the organization, making sure we not only know the law, but also adhere to it for the benefit of our clients and the firm”, say Oliver Ayon, Esquire the S&E Director of Compliance and Executive.

During a time where a global pandemic introduced new challenges and opportunities, it was also the time for the S&E team to focus on the enhancement of systems and streamline processes guided by the firm’s Core Values, CREATE CHANGE. The Firm’s staff members, Managing Attorneys, Managing Paralegals, and Executives came together with an entrepreneurial outlook to redefine what is essential to secure and enhance quality control measures.

The S&E unification of ideas led to the reengineering of the Firm’s compliance department. Today, the department is driving innovations with product evolution and enhancing inter-organizational strategy and operational imperatives. The role of this Compliance Department is to proactively build efficiencies and proactive risk mitigation efforts, “bridging the gap” between the Firm employees, the individual departments, and the Firm’s leadership. The Compliance Department ensures that all Firm employees are engaged with the compliance program and educated on their role within the Firm so they will contribute meaningfully to their teams and the needs of our clients. Ayon’s vision of “bridging the gap” and collaborating with all employees, has been a steadying force for the organization in a time where the Firm is navigating the proverbial uncharted waters of 2022. “Oliver is a truly positive force in driving S&E into the future. He brings his passion, energy and diligence to our organization in ways that inspire others on the teams to look for ways to always improve the ways we meet and/or exceed expectations,” says CEO, Steven Eisenberg, Esquire, MBA.

The reengineered compliance team consists of S&E internal talent who were designated by the CEO, Steven K. Eisenberg, Esquire, MBA and the Director of Compliance, Oliver Ayon, Esquire. “We want our team to think outside of the box to achieve creative solutions to our clients’ ever changing legal needs,” says Eisenberg. The team’s diverse industry skill set, and experience align with the Firm’s current and long-term transformational goals. Whether it is providing interactive educational sessions to examining holistic solutions to many of the challenges we face, the compliance team is inspiring results across S&E.

It is the mantra of the Firm’s Compliance Department to always do the right thing in a preventive manner to lessen or remove the opportunity for any harm to come to our clients and our Firm due to a compliance risk. The Compliance Department is responsible for implementing written policies, procedures, and standards of conduct; conducting effective training and education; developing effective lines of communication; conducting internal and external auditing; responding promptly to and undertaking corrective action. Ayon and his team pride themselves on making sure the process is sound in order for our other departments to have a solid foundation for the routine so they can continue to bring creative solutions to some of the more challenging issues that our clients face and present to us.

Stern & Eisenberg is an ISO 27001 certified full-service law firm providing legal representation in a variety of matters throughout the firm’s footprint. S&E focuses on real estate and business law; general and mortgage default litigation; estate planning and administration; as well as real estate closings, both REO and retail, throughout the firm’s larger footprint. S&E’s multistate footprint for GSE matters includes New York, New Jersey, Pennsylvania, Delaware, West Virginia, and S&E also has attorneys also licensed in additional states, including, Maryland, Virginia, and Washington DC.

The firm recognizes and values the importance of high-tech compliance measures transforming all legal and client requirements driving efficiency and security.

Contact the Stern & Eisenberg Compliance Team today.


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