The 20 Rising Stars of Compliance
10-22-2007 | Source: Institutional Investor News
Institutional Investor News’ 2nd annual 20 Rising Stars of Compliance presents up-and-coming professionals from various fields of regulatory compliance whose skills, dedication, and industry and academic participation are likely to have an impact on securities compliance.
Our nominees hail from a variety of financial services firms—large and small—across the U.S. and from the U.K. representing alternative investment managers, clearing firms, institutional and retail broker-dealers, investment advisory firms, and mutual fund companies. Our nominees’ specializations include anti-money laundering, audit, financial crime, information technology, international regulation, and risk management.
Other noteworthy points about our Rising Stars:
- 55% have a J.D. and 20% have an M.B.A. (including one who has both);
- 50% are chief compliance officers;
- 50% work at investment management firms, including hedge funds and mutual funds, or are in charge of investment management compliance exclusively at a dually-registered broker-dealer;
- 50% work in New York City; 10% in London and 10% in San Francisco;
- 25% of nominees have been employed by self-regulatory organizations or the Securities and Exchange Commission, including a former assistant district attorney;
- 25% are women;
- 10% are fixed-income compliance officers;
- The average age of nominees is 35 (the youngest being 29 and the eldest being 40).
Nominees are solicited from industry peers and honorees are selected by the editorial staff. Our Stars are 40 years-old or younger, show a consistent career record and a dedication to promoting and protecting the industry via the work performed in their firms or with regulators and other trade groups.
We thank the nominees and their colleagues who nominated them for making this list possible. We look forward to charting the Rising Stars’ professional progress.
Without further ado, here are our Rising Stars, listed alphabetically by surname.
For more information and an editorial calendar please contact: Jessica Sommar, Editor of Business Publishing, II News, 212.224.3272 or jsommar@iinews.com.
To make a nomination please contact us at risingstars@iinews.com.
