Top Chief Compliance Officers in Greater Chicago Area
Todd Anderson
Chief Compliance Officer, Vice President
Greater Chicago Area
Chief Compliance Officer, Vice President
Chief Compliance Officer, Vice President at Comenity LLC
The College of William and Mary
The College of William and Mary - The Mason School of Business
Recommendations: 14
Compliance Management
Strategy
Leadership
Credit Cards
Risk Management
OFAC
Financial Risk
Privacy Law
t****[email protected]
Laura Lazarczyk
Attorney
Greater Chicago Area
Attorney
Chief Compliance Officer & Assistant General Counsel, Vice President and Head of Human Resources
Legal Assistant
DePaul University College of Law
University of Southern California
Recommendations: 12
Department Management
Cross-functional Team Leadership
Strategic Leadership
Fraud Investigations
Privacy
Investigations
Commercial Transactions
Legal Compliance
l****[email protected]
Dave Worachek
Chief Operating Officer, Physician Services
Greater Chicago Area
Chief Operating Officer, Physician Services
Strategic Advisor
Executive Vice President
Executive Vice President , CFO and Chief Compliance Officer
CFO
Manager - Financial Services
Controller
Audit Senior
University of Wisconsin-Madison
Xavier High
Recommendations: 10
Revenue Cycle Management
Medical Billing
Revenue Cycle
Healthcare
Cash Flow
Start-ups
Business Planning
Financial Analysis
d****[email protected]
Darcy Morowitz
VP, Internal Audit and Chief Compliance Officer
Greater Chicago Area
VP, Internal Audit and Chief Compliance Officer
Director of Internal Audit & SOX Compliance
Owner/CFO
Director
Manager-Business Risk Services
Internal Audit Senior
Staff Auditor
Northern Illinois University
Northern Illinois University
Recommendations: 6
Internal Audit
Enterprise Risk Management
Sarbanes-Oxley
Corporate Governance
External Audit
Business Process Re-engineering
Change Management
Project Management
d****[email protected]
d****[email protected]
Jana Hatten
Chief Compliance Officer and BSA Officer
Greater Chicago Area
Chief Compliance Officer and BSA Officer
Chief Compliance Officer
Chief Compliance Officer
Chief Compliance Officer and AML Strategy, Visa Digital Services, Inc.
SVP Chief Compliance Officer
Manager
Executive Vice President Regional Compliance/AML Strategy and Assurance
Vice President
Vice President Risk Management and Chief Compliance Officer
Senior Vice President/Manager
Director of Global Risk Strategy & Policy
Executive Vice President
Director Global AML Compliance
Pacific Coast Banking School
University of Missouri-Columbia
Recommendations: 6
AML
Mobile Payments
ID theft
Operations Management
Consumer Lending
Credit
Commercial Lending
E-payments
j****[email protected]
Alfonso del Granado
Chief Compliance Officer
Greater Chicago Area
Chief Compliance Officer
Director of Program Development
Recommendations: 5
Healthcare
Healthcare Information Technology
Clinical Research
Medicine
Surgery
Hospitals
EMR
Management
d****[email protected]
Laura Merten
Chief Privacy Officer
Greater Chicago Area
Chief Privacy Officer
Board Member, Health Law Institute
Privacy Officer and Chief Compliance Officer
Divisional Vice President, Loss Prevention, Asset Protection and Business Continuity Management
Privacy Officer
Trustee, Walgreens Profit Sharing Retirement Plan
Divisional Vice President, Health Law; HIPAA Privacy Officer
Director, Business Development
Attorney/Senior Attorney
University of Illinois College of Law
DePaul University
Purdue University - Krannert School of Management
Recommendations: 4
Privacy Law
Privacy Compliance
Consumer Privacy
Privacy Regulations
Compliance
Healthcare Privacy
Information Risk
Data Security
l****[email protected]
Matt Schinzel
Chief Compliance Officer
Greater Chicago Area
Chief Compliance Officer
Chief Compliance Officer and General Counsel
Chief Compliance Officer and General Counsel
Senior Investigator
Law Clerk
Drake University Law School
Chicago-Kent College of Law, Illinois Institute of Technology
Minnesota State University Moorhead
Recommendations: 2
Securities
Legal Compliance
Trading
Securities Regulation
FINRA
Financial Markets
Options
Derivatives
m****[email protected]
Patrick Spiroff
Compliance Officer
Greater Chicago Area
Compliance Officer
Independent Consultant
Chief Compliance Officer
VP Compliance
Compliance Officer
Chief Compliance Officer
Chief Compliance Officer
Independent Contractor
Chief Compliance Officer
Grand Valley State University
Recommendations: 2
Electronic Trading
Options
Trading
Securities
Trading Systems
Equities
Derivatives
Series 7
p****[email protected]
p****[email protected]
Jennifer Walton
Senior Compliance Manager
Greater Chicago Area
Senior Compliance Manager
Chief Compliance Officer and Secretary
Senior Manager, Consumer and Small Business Services
Northwestern University
Recommendations: 2
Portfolio Management
Credit
Financial Risk
Team Building
Financial Analysis
Collaborative Leadership
Leadership
Strategy
j****[email protected]
Mark DeRolf
Chief Compliance Officer
Greater Chicago Area
Chief Compliance Officer
Managing Director
Chief Administrative Officer
Principal, CFO and Compliance Officer
Vice President
Chief Administrative Officer- Structured Products Group
Chief Financial & Operations Officer
Manager - Foreign Exchange Division
Chief Financial & Operations Officer
Assistant Vice President
Assistant Treasurer - Accounting Manager
Auditor
Indiana University Bloomington
Louisiana Tech University
Recommendations: 2
Options
Equities
Trading
Commodity
Risk Management
Alternative Investments
Investments
Back Office
m****[email protected]
Robert Walner
Principal
Greater Chicago Area
Principal
Of Counsel
Executive Vice President, General Counsel, Corporate Secretary and Chief Compliance Officer
Senior Vice President, General Counsel, Corporate Secretary and Chief Compliance Officer
Of Counsel
EVP, Chief Administrative and Legal Officer, Chief Compliance Officer and Corporate Secretary
Of Counsel
Senior Vice President, General Counsel, Corporate Secretary and Chief Compliance Officer
Northwestern University - Kellogg School of Management
DePaul University College of Law
University of Illinois at Urbana-Champaign
Recommendations: 2
Corporate Governance
Senior Executives
Real Estate
Securities
Employment Law
Litigation Management
FINRA
Corporate Law
r****[email protected]
Alex Eugenides
Senior Investigator - Market Regulation Department
Greater Chicago Area
Senior Investigator - Market Regulation Department
Investigator - Market Regulation Department
Principal
Associate Attorney
Corporate Counsel
Corporate Counsel & Chief Compliance Officer
University of San Diego School of Law
Eastern Illinois University
Eastern Illinois University
Recommendations: 1
Derivatives
Financial Regulation
Trading
Commodity
Capital Markets
Securities
Legal Writing
Project Management
a****[email protected]
Teri JD
Assistant General Counsel, Pharmaceutical Operations Legal Team
Greater Chicago Area
Assistant General Counsel, Pharmaceutical Operations Legal Team
Vice President and Chief Compliance Officer
Attorney, Litigation
Assistant Circuit Attorney
General Counsel, Asian Operations
Independent Advisor
Assistant General Counsel
Associate
Sr. Vice President, Chief Ethics and Compliance Officer
Sr. Vice President, Chief Compliance and Risk Officer
Attorney, Global Medical and Regulatory Affairs Legal Group
Washington University in St. Louis School of Law
Northwestern University - Kellogg School of Management
Wellesley College
Recommendations: 1
Pharmaceutical Industry
Litigation
Corporate Law
Commercial Litigation
Regulatory Affairs
Clinical Trials
Corporate Governance
Licensing
t****[email protected]
Russell Daugerdas
Senior Compliance Officer
Greater Chicago Area
Senior Compliance Officer
Vice President - Compliance
Chief Compliance Officer, Global Quantitative Strategies, Trading and Technology
Chief Compliance Officer, Fundamental Equities
Chief Regulatory Officer
Business Analyst
University of Iowa
University of Illinois at Chicago
Recommendations: 0
Securities
Series 7
Fixed Income
Equities
Hedge Funds
Compliance Testing
Alternative Investments
Bloomberg
r****[email protected]
Raquel daFonseca
General Counsel
Greater Chicago Area
General Counsel
Chief Compliance Officer / Senior Litigation Counsel
Associate General Counsel
Labor & Employment / Litigation Associate
Litigation Associate
University of Michigan Law School
Brown University
East Providence Sr. High
Recommendations: 0
Legal Writing
Arbitration
Dispute Resolution
Product Liability
Appeals
Civil Litigation
Litigation
Commercial Litigation
r****[email protected]
Ann Straw
US General Counsel and Corporate Secretary
Greater Chicago Area
US General Counsel and Corporate Secretary
Advisory Board
Board of Directors
Board of Directors
Vice President & Chief Compliance Officer
Indiana University-Bloomington, IN
Recommendations: 0
Corporate Governance
Mergers
Intellectual Property
Litigation
Sarbanes-Oxley Act
SEC filings
Due Diligence
Management
a****[email protected]
Michael Lugowski
VP, Compliance Officer
Greater Chicago Area
VP, Compliance Officer
Senior Compliance Consultant
Chief Compliance Officer
Director
VP, Sr. Compliance Officer (Compliance Consultant: June - Dec 2011)
Senior Compliance Examiner
Senior Analyst
Elmhurst College
St Joesph HS
Recommendations: 0
Financial Services
Equities
FINRA
Trading
Mutual Funds
Securities
AML
Risk Management
m****[email protected]
John Hart
SVP, Chief Financial Officer
Greater Chicago Area
SVP, Chief Financial Officer
Chief Financial Officer and Chief Compliance Officer
SVP of Finance and Corporate Controller
Assistant Corporate Controller
Loyola University Chicago
Recommendations: 0
Accounting
Finance
Financial Modeling
Financial Reporting
Analysis
Due Diligence
Managerial Finance
Mergers & Acquisitions
j*****@novamed.com
W. Scott Nehs
Senior Vice President, General Counsel and Corporate Secretary
Greater Chicago Area
Senior Vice President, General Counsel and Corporate Secretary
Senior Vice President - Legal & Government Affairs
Vice President Legal and Chief Compliance Officer
Assistant General Counsel
Senior Associate
University of Wisconsin Law School
Northwestern University
Recommendations: 0
Litigation
Real Estate
Antitrust
Compliance
Department Management
International Law
Aviation Law
Project Coordination
n****[email protected]
STEVE FARMER
Deputy Chief Compliance Officer
Greater Chicago Area
Deputy Chief Compliance Officer
Chief Compliance Officer
Chief Compliance Officer
Director
Hedge Fund of Funds
Internal Auditor
Chief Compliance Officer
Chief Compliance Officer - 50 South Capital Advisors (adviser and funds)
Chief Compliance Officer - Hedge Fund of Funds
Office of Investigations and Audits
Chief Compliance Officer
Northern Illinois University
DePaul University - Charles H. Kellstadt Graduate School of Business
Recommendations: 0
s****[email protected]
David Styler
Vice President and Chief Compliance Officer
Greater Chicago Area
Vice President and Chief Compliance Officer
Interim Global Chief Compliance Officer
International Compliance Officer
Director, Internal Investigations
Counsel
Assistant United States Attorney
Special Assistant
Assistant
The John Marshall Law School
Indiana University Bloomington
Recommendations: 0
FCPA
Investigations
Compliance
Internal Investigations
Criminal Law
Ethics
Privacy Law
Investigation
d****[email protected]
d****[email protected]
Joseph O'Boyle
Chief Compliance Officer Jackson Variable Series Trust
Greater Chicago Area
Chief Compliance Officer Jackson Variable Series Trust
Chief Compliance Officer
Chief Compliance Officer
Director of Internal Audit / Risk Assessment
SVP, Internal Audit Director/Manager
Audit Officer
Sr. Risk Analyst
Sr. Financial Examiner
Northwestern University - Kellogg School of Management
Iowa State University
Evanston Township High School
Recommendations: 0
o****[email protected]
Christine Castellano
Income Partner, Associate
Greater Chicago Area
Income Partner, Associate
Senior Vice President, General Counsel and Corporate Secretary
Vice President, International Law & Deputy General Counsel
Senior Vice President, General Counsel, Corporate Secretary and Chief Compliance Officer
Executive Vice President, General Counsel and Corporate Secretary
Associate General Counsel/Counsel U.S. & Canada/Operations Attorney
University of Michigan Law School
University of Colorado Boulder
Recommendations: 0
Contract Negotiation
Mergers
Mergers & Acquisitions
Corporate Governance
International Law
Licensing
Litigation
Intellectual Property
c****[email protected]
Sean Rahilly
Chief Compliance Officer
Greater Chicago Area
Chief Compliance Officer
Associate General Counsel
Attorney
Project Assistant - General Corporate & Securities Practice Area
Legal Coordinator/Compliance Associate
DePaul University College of Law
DePaul University
Recommendations: 0
Compliance
Risk Management
Financial Risk
Due Diligence
Financial Services
Loans
AML
Credit
s****[email protected]
James Downing
Global Chief Compliance Officer Retirement Solutions
Greater Chicago Area
Global Chief Compliance Officer Retirement Solutions
Global Chief Compliance Officer
Chief Compliance Officer
Executive Director - Compliance
Vice President Compliance Manager
Chief Compliance Officer
Taft Law School
Association of Certified Fraud Examiners
Recommendations: 0
Compliance
Series 24
Series 7
Certified Fraud Examiner
Risk Management
Financial Regulation
Securities Regulation
Series 66
u****[email protected]
j****[email protected]
Rodney Phillipe
Sr. Vice President and General Counsel
Greater Chicago Area
Sr. Vice President and General Counsel
Attorney
General Counsel/Chief Compliance Officer
General Counsel
Attorney
The John Marshall Law School
Eastern Illinois University
Recommendations: 0
FMLA
Americans with Disabilities Act
Casino
Legal Writing
Licensing
Employee Relations
Litigation Management
Private Investigations
r****[email protected]
Dr. Eglite
Senior Vice President, General Counsel & Chief Corporate Compliance Officer
Greater Chicago Area
Senior Vice President, General Counsel & Chief Corporate Compliance Officer
Vice President, Corporate Counsel & Chief Compliance Officer
Vice President, Corporate Counsel & Chief Compliance Officer
Global Chief Compliance Officer, Corporate Counsel. Nasdaq (ASPV) Aspreva_Pharmaceuticals
Attorney at Law-Litigation Attorney, Registered Patent Attorney
University of Notre Dame
Loyola University Chicago School of Law
The University of Chicago
Recommendations: 0
e****[email protected]
Aidan Butler
Senior Compliance Officer
Greater Chicago Area
Senior Compliance Officer
Co-Head Equities Compliance
Internal Sales Consultant
TMMS Compliance Examiner
Trading Liaison
Chief Compliance Officer FIS Brokerage & Securities Services LLC
Compliance Consultant
Compliance Consultant
Chicago-Kent College of Law, Illinois Institute of Technology
University of Illinois at Urbana-Champaign
Recommendations: 0
a****[email protected]
Jason Bragg
Functional Business Unit Controller / Senior Associate, Accounting and Finance
Greater Chicago Area
Functional Business Unit Controller / Senior Associate, Accounting and Finance
Chief Financial Officer
Chief Financial Officer/Chief Compliance Officer
Manager, Hedge Fund Practice of Assurance and Advisory Services
New Mexico State University
Recommendations: 0
j****[email protected]
Lance Murray
Managing Director, Chief Compliance Officer
Greater Chicago Area
Managing Director, Chief Compliance Officer
Managing Principal
Managing Director, Chief Compliance Officer
Chief Compliance Officer
Senior Manager, Securities Regulatory Consulting
Boston University
Recommendations: 0
Securities Regulation
Compliance
Back Office
Operations
Financial Reporting
Proprietary Trading
Equities Trading
Options Trading
l****[email protected]
Emma Rodriguez-Ayala
Law Clerk
Greater Chicago Area
Law Clerk
General Counsel and Senior Managing Director
Partner - Investment Management
General Counsel and Chief Compliance Officer
Life Explorer
Associate
University of Chicago Law School
Saint Louis University
Recommendations: 0
e****[email protected]
Jessica Mazza
Senior Director of Internal Audit
Greater Chicago Area
Senior Director of Internal Audit
Chief Compliance Officer
Director of Internal Audit
Audit Manager
Consultant
Arizona State University
Recommendations: 0
j****[email protected]
Sarah Williams
Chief Compliance Officer
Greater Chicago Area
Chief Compliance Officer
Staff Attorney for ICE Clear Credit
Law Clerk
Law Clerk
Law Clerk
Marketing Intern - Marie Claire Magazine
Administrative Assistant
Loyola University Chicago School of Law
University of Illinois at Urbana-Champaign
Recommendations: 0
Dodd-Frank
Financial Services
Regulatory Filings
Corporate Governance
Financial Regulation
Commercial Litigation
s****[email protected]
Robert Marischen
Proprietary Trader
Greater Chicago Area
Proprietary Trader
Principal
Principal
Chief Compliance Officer
Global Head of Compliance
Compliance Advisor - Commodities, Derivatives and Financial Products
Options Market Maker
Senior Interest Rate Trader
Northwestern University School of Law
Miami University
Recommendations: 0
Derivatives
Commodities
Trading
Options
Risk Management
Compliance
Equities
Interest Rate Derivatives
r****[email protected]
Carl Kunz
Chief Compliance Officer-Securities
Greater Chicago Area
Chief Compliance Officer-Securities
Chief Compliance Officer
Compliance Manager
Chief Compliance Officer
Chief Compliance Officer
Vice President / Director of Compliance
Supervisor-Trading & Market Making Surveillance (TMMS)
Team Leader-Trading & Market Making Surveillance (TMMS)
Field Supervisor
Financial Analyst
Institutional Operations
Finance Department
DePaul University
Recommendations: 0
FINRA
Securities
Equities
Fixed Income
Hedge Funds
Trading
Capital Markets
Investments
c*****@peak6.com
Carolyn Barr
Compliance Manager
Greater Chicago Area
Compliance Manager
Chief Compliance Officer, Human Resources Manager
Senior Compliance Analyst and HR Manager
Compliance Officer
DePaul University - Charles H. Kellstadt Graduate School of Business
Creighton University
Fenwick High School
Recommendations: 0
Equities
Series 7
Securities
Series 24
Securities Regulation
FINRA
Mutual Funds
Series 63
c****[email protected]
Frank Ziegler
VP & Associate General Counsel
Greater Chicago Area
VP & Associate General Counsel
VP & Chief Compliance Officer
University of Wisconsin Law School
Boston College
Recommendations: 0
Compliance
Contract Negotiation
Risk Management
Corporate Law
Due Diligence
Legal Research
Litigation
Legal Writing
Judy Fu
Chief Compliance Officer
Greater Chicago Area
Chief Compliance Officer
Administrator
Executive Assistant
Chief Compliance Officer
Chief Of Staff
Vice President
Senior Executive Administrative Assistant
Loyola University of Chicago
Recommendations: 0
Securities
Investments
Licensed Managing Real Estate Broker - State of Illinois
Investment Adviser Core Compliance Program
FINRA Series 7
FINRA Series 63
FINRA Series 65
Real Estate
Andrea Okun
Assistant General Counsel
Greater Chicago Area
Assistant General Counsel
Chief Compliance Officer, Assistant General Counsel
University of Michigan Law School
University of Michigan
Recommendations: 0
Trade Secrets
Intellectual Property
Legal Writing
Product Liability
Unfair Competition
Restrictive Covenants
Commercial Litigation
Litigation
a****[email protected]
Michael Chick
Hedge Fund/Private Equity Compliance
Greater Chicago Area
Hedge Fund/Private Equity Compliance
Chief Compliance Officer & Associate General Counsel
Assistant General Counsel & Assistant Secretary
Attorney-Vice President
Marquette University Law School
Marquette University
Recommendations: 0
t****[email protected]
Patrick Sheller
Senior Vice President, General Counsel & Secretary
Greater Chicago Area
Senior Vice President, General Counsel & Secretary
Attorney Advisor to the Chairman
Deputy General Counsel/Chief Compliance Officer
Chief Antitrust Counsel /Division Counsel, Kodak Health Group
International Legal Counsel
Associate
Operations Director, Kodak Health Informatics,Director, Strategy & Business Development, Health Care
Executive VP, General Counsel & Chief Compliance Officer
SVP, General Counsel, Secretary & Chief Administrative Officer (CAO)
Staff Attorney - Bureau of Competition
Albany Law School of Union University
St. Lawrence University
Recommendations: 0
p****[email protected]
Carrie Santo
Managing Director, ERM and Global Chief Compliance Officer
Greater Chicago Area
Managing Director, ERM and Global Chief Compliance Officer
Augustana College
Recommendations: 0
FCPA
Data Privacy
Sanction
UK Bribery Act
Corporate Governance
Privacy Law
Mergers
Due Diligence
d****[email protected]
Reggie Griffith
Head of Regulatory Compliance North America
Greater Chicago Area
Head of Regulatory Compliance North America
Head of Futures Compliance
Senior Compliance Analyst
VP and Chief Compliance Officer
Financial Advisor
Chicago-Kent College of Law, Illinois Institute of Technology
The University of Texas at Austin
Recommendations: 0
Securities
Commodity
Hedge Funds
Derivatives
Risk Management
Trading
Finance
Options
g****[email protected]
Tonja Morgan
AVP, Compliance Manager
Greater Chicago Area
AVP, Compliance Manager
Senior Compliance Manager
Chief Compliance Officer
Saint Xavier University
The University of Texas at San Antonio
Prosser Vocational H.S.
Recommendations: 0
Mutual Funds
Series 24
FINRA
Asset Managment
Securities
AML
Equities
Series 7
t****[email protected]
Michael Sullivan
Compliance Consultant
Greater Chicago Area
Compliance Consultant
Director - Compliance
Legal Intern - Corporate Legal Department
Compliance Analyst
Senior Compliance Manager, Vice President
Legal Intern
Law Clerk
Senior Compliance Analyst, Associate Vice President
Senior Legal Product Manager
Legal Intern
Principal, Registered Funds Chief Compliance Officer
Northeastern University School of Law
Vassar College
Recommendations: 0
Investment Company Act
Investment Advisers Act
Securities Regulation
Securities
FINRA
Mutual Funds
Hedge Funds
Asset Managment
m****[email protected]
Dina Rollman
Board Member
Greater Chicago Area
Board Member
Founder
Co-Founder
Chief Compliance Officer
Public Speaker
Partner
Assistant Inspector General
Commercial Litigation Associate
Northwestern University School of Law
Oberlin College
Glenbrook South
Recommendations: 0
Fraud
Commercial Litigation
Litigation
Civil Litigation
Class Actions
Corporate Law
Legal Research
Mediation
d****[email protected]
d****[email protected]
Peter Osella
Cytogenetic Lab Supervisor
Greater Chicago Area
Cytogenetic Lab Supervisor
Cytogenetic Laboratory Supervisor
Cytogenetics Laboratory Supervisor
Vice President-Regulatory/Quality and Chief Compliance Officer
Director, Quality Systems
Assumption College
Recommendations: 0
FDA
Quality System
Medical Devices
Laboratory
Hardware Diagnostics
Microarray
CAPA
Process Improvement
o****[email protected]
Angela Fontana
Vice President and General Counsel
Greater Chicago Area
Vice President and General Counsel
Vice President and Chief Compliance Officer
Corporate Counsel
Corporate Counsel
Regional Counsel
Assistant Counsel
Drake University
Drake University Law School
University of Iowa
Recommendations: 0
Compliance
Insurance Law
Government Relations
Insurance
Litigation Management
Strategic Planning
Legal Compliance
Corporate Governance
a****[email protected]
Linda Mast, PhD
Academic Program Coordinator
Greater Chicago Area
Academic Program Coordinator
Plan Commissioner
Associate Professor
Faculty and Senior Fellow
Vice President Board of Directors
Associate Dean
Associate Dean
Chief Compliance Officer
Chief Compliance Officer
Doctoral Student
Director
University of Missouri-Columbia
Western New England University
University of Maryland Baltimore
Recommendations: 0
online teaching
Strategic Planning
Policy
Higher Education
Leadership Development
Healthcare Management
Admissions
Public Speaking
l****[email protected]
Kelli CRCM
Manager
Greater Chicago Area
Manager
First Vice President, Compliance Officer
Regulatory Compliance Auditor
Vice President & Compliance/BSA Officer
Vice President & Chief Compliance Officer
Risk Management Analyst
Commercial Loan Processor
Ball State University
Purdue University
Purdue University
Recommendations: 0
Bank Secrecy Act
Regulatory Requirements
Regulatory Submissions
Community Reinvestment Act
Banking
Risk Management
Due Diligence
Auditing
k****[email protected]
Layne Bussell
Vice President Compliance
Greater Chicago Area
Vice President Compliance
Chief Compliance Officer
Director, Compliance Testing
Global Head of Corporate Credit Review
Global Director of Compliance Testing
Senior Audit Manager
West Texas A&M University
Texas Tech University
New Mexico Junior College
Recommendations: 0
Internal Audit
Risk Management
Internal Controls
Banking
Auditing
Enterprise Risk Management
Sarbanes-Oxley Act
Due Diligence
l****[email protected]
Susan Roberts
Executive VP & Chief Compliance Officer
Greater Chicago Area
Executive VP & Chief Compliance Officer
Assistant General Counsel & VP Compliance
Litigation Counsel
Trial Lawyer
Albany Law School of Union University
Binghamton University - School of Management
Recommendations: 0
Medical Devices
Pharmaceutical Industry
Regulatory Affairs
FDA
Litigation
Corporate Law
FCPA
Licensing
s****[email protected]
K. Carey
Chief Compliance Officer
Greater Chicago Area
Chief Compliance Officer
Senior Vice President and General Counsel - Beer Division
Vice President and Associate General Counsel
Senior Associate
Chief Diversity Officer
Senior Vice President, Human Resources - Beer Division
Harvard Business School
The University of Chicago Booth School of Business
Loyola University Chicago School of Law
Recommendations: 0
Litigation
Product Liability
Consumer Products
CPSC
Global Regulatory Compliance
Federal & State Regulatory Compliance
Employment Law
Intellectual Property
k****[email protected]
Cara Zemenak
Senior Director, Compliance & Integrity
Greater Chicago Area
Senior Director, Compliance & Integrity
Corporate Vice President & Global Chief Compliance Officer
Advisory Board, Policy Committee
Vice President and Chief Compliance Officer, Government Programs & Settlements
General Counsel
Corporate Vice President & General Counsel, Gallagher Global Brokerage
Partner / Associate
Senior Legal Counsel
Boston University - School of Management
John Marshall Law School
St. Francis High School
Recommendations: 0
z****[email protected]
c****[email protected]
Matt Lisle
Director-Legal
Greater Chicago Area
Director-Legal
Deputy Chief Regulatory Officer
Staff Attorney
General Counsel & Chief Compliance Officer
General Counsel
Chief of Compliance
General Counsel and Corporate Secretary
Consultant
COO & General Counsel
Chief Compliance Officer
Consultant - Risk Management for Physical Commodity Merchandising
Loyola University Chicago School of Law
Colgate University
Recommendations: 0
Derivatives
Options
Trading
Commodity
Risk Management
Settlement
Portfolio Management
Strategy
m****[email protected]
Elizabeth Govea
Vice President
Greater Chicago Area
Vice President
Senior Financial Analyst
Vice President
Investment Officer – Private Markets
Alternative Investments
Senior Financial Analyst
Chief Operating Officer & Chief Compliance Officer
National-Louis University
University of Illinois at Chicago
Recommendations: 0
Asset Management
Fixed Income
Investments
Equities
Hedge Funds
Alternative Investments
Portfolio Management
Finance
e****[email protected]
Daniel Hanrahan
Associate
Greater Chicago Area
Associate
Litigation Counsel
Attorney
Chief Legal Officer, Corporate Secretary & Chief Compliance Officer
President, DCI-Artform, Transportation & Digital
Assistant General Counsel
Associate General Counsel
General Counsel, CAO, Corporate Secretary, Chief Compliance Officer & Chief Innovation Officer
SVP Corporate Development
Marquette University
Marquette University Law School
Marquette University
Recommendations: 0
d****[email protected]
Brent Glendinning
CME Futures and NYSE Equity Trading
Greater Chicago Area
CME Futures and NYSE Equity Trading
Account Executive
Chief Compliance Officer
VP, Americas
Senior Sales Manager
Director of Institutional Sales
Sales Manager
Research Sales
University of Iowa
Broncos
Independent Study via Coursera
Recommendations: 0
Trading
Derivatives
Financial Markets
Hedge Funds
Territory Development
Equity Trading
Sales
Asset Management
b****[email protected]
Marc Nagel
Compliance Consultant and Expert Witness
Greater Chicago Area
Compliance Consultant and Expert Witness
Chief Compliance Officer and General Counsel
Floor Trader and Broker
Chicago-Kent College of Law, Illinois Institute of Technology
University of Illinois at Urbana-Champaign - College of Business
Recommendations: 0
m*****@dormantrading.com
Susan Korin
Account Executive
Greater Chicago Area
Account Executive
CEO
Owner, Chief Operating Officer & Chief Compliance Officer
President, North America
Saint Mary's University of Minnesota
Recommendations: 0
s****[email protected]
s****[email protected]
Stephen Young
Chief Compliance Officer
Greater Chicago Area
Chief Compliance Officer
Management Consultant
VP Internal Audit | Chief Compliance Officer | Global Experience Corprate Fraud
VP | Information Management Systems, Internal Audit Operations
Assistant VP Audit | Risk Managment Assessment Department Development
University of Phoenix
Western Illinois University
Recommendations: 0
Sarbanes-Oxley
Internal Audit
Sarbanes-Oxley Act
Auditing
Internal Controls
Enterprise Risk Management
Fraud Investigation
Corporate Compliance
s****[email protected]
s****[email protected]
Deborah Solmor
Chief Compliance Officer
Greater Chicago Area
Chief Compliance Officer
Vice President & Deputy General Counsel, Litigation
Litigation Attorney
Counsel
DePaul University College of Law
Northwestern University
Recommendations: 0
Litigation
Commercial Litigation
Legal Research
Civil Litigation
Legal Writing
Courts
Class Actions
Mediation
d****[email protected]
Richard Wallace
Senior Vice President and Chief Compliance Officer
Greater Chicago Area
Senior Vice President and Chief Compliance Officer
University of California, Berkeley - School of Law
University of California, Berkeley
Recommendations: 0
Securities
Clearing Houses
Securities Regulation
Options
Financial Services
Prudential Regulation
FINRA
Financial Regulation
t****[email protected]
Bruce Mumford
Chief Financial Officer and Chief Compliance Officer
Greater Chicago Area
Chief Financial Officer and Chief Compliance Officer
Partner, Director of Advisory Board
Partner and Global Head of Marketing and Client Services
Managing Partner
President and CEO
University of Michigan
Harvard Business School
Recommendations: 0
Hedge Funds
Alternative Investments
Fixed Income
Equities
Investment Banking
Proprietary Trading
Prime Brokerage
Financial Services
b****[email protected]
Randy Randall
VP - CCO
Greater Chicago Area
VP - CCO
VP and Associate Counsel
Senior Compliance Officer
Chief Compliance Officer - Investment Management
VP and Associate Counsel
Associate Counsel
Assistant General Counsel
VP and Associate Counsel
University of Kansas School of Law
Washington and Lee University
Recommendations: 0
r****[email protected]
Jason CSOP
Managing Director, Operations and Chief Compliance Officer
Greater Chicago Area
Managing Director, Operations and Chief Compliance Officer
Broker Associate
Trader Associate
University of Illinois at Urbana-Champaign - College of Business
Recommendations: 0
Bloomberg Terminal
DTCC
Advent Software - APX,...
PortfolioCenter
MarketAxcess
Bonds.com
APL
j****[email protected]
Judd Hines
General Counsel and Chief Compliance Officer
Greater Chicago Area
General Counsel and Chief Compliance Officer
Managing Director
Interim CEO
Director
Attorney
Emory University School of Law
Fairfield University
Recommendations: 0
Capital Markets
Corporate Law
Equities
Corporate Finance
Restructuring
Financial Advisory
Loans
High Yield
j****[email protected]
David C. Ansani
Chief Compliance Officer
Greater Chicago Area
Chief Compliance Officer
Attorney at Law
Of Counsel
Attorney/Partner
Trustee
Attorney
Attorney
The University of Chicago Booth School of Business
Chicago-Kent College of Law, Illinois Institute of Technology
The University of Chicago
Maine South High School
Recommendations: 0
Wills
Litigation
Corporate Law
Commercial Litigation
Real Estate
Business Transactions
Family Law
Real Estate Transactions
d****[email protected]
Yoo Jung
Compliance Director
Greater Chicago Area
Compliance Director
Chief Compliance Officer
Manager, Legal/Compliance
Law Clerk
University of Illinois College of Law
University of Illinois at Urbana-Champaign
Recommendations: 0
Equities
FINRA
Trading
Derivatives
Options
Securities
Trading Systems
Securities Regulation
j****[email protected]
Mindy Chapman, Esq.
Member
Greater Chicago Area
Member
Chief Compliance Officer
Partner, National Director of Training & Development
Partner, National Director of Training & Development
Northwestern University School of Law
University of Illinois at Chicago
University of Illinois at Urbana-Champaign
Recommendations: 0
Talent Management
Employee Relations
Employment Law
Training
Americans with Disabilities Act
Employee Engagement
Courts
FMLA
m****[email protected]
Philip Storm
Employment Litigation Defense Attorney
Greater Chicago Area
Employment Litigation Defense Attorney
Global Ethics and Compliance Program Legal Counsel/Director
Senior Counsel
Employment Litigation Defense Attorney
Americas Labor and Employment Lead / Counsel
SVP, Chief Compliance Officer
Global Managing Director Corporate Investigations
Shareholder
The John Marshall Law School
University of Chicago
Augustana College
Recommendations: 0
Internal Investigations
Employment Law
Privacy Law
Legal Compliance
Litigation
Corporate Governance
Ethics
Fraud
Mark Gilbert
Chief Compliance Officer
Greater Chicago Area
Chief Compliance Officer
Company Name
Mercer Investments
Chief Compliance Officer - AmSouth Asset Management
Northeastern University
Recommendations: 0
Financial Risk
Risk Management
Financial Analysis
Investments
Asset Management
Finance
Financial Services
Insurance
