Top Chief Compliance Officers in Greater Los Angeles Area

Michael Rosenow, SPHR

Senior Vice President Human Resources

Greater Los Angeles Area

Senior Vice President Human Resources

Senior Vice President of Human Resources & Chief Compliance Officer

Regional Vice President of Human Resources

Director of Human Resources and Customer Service

Employment Manager/Assistant Director of Human Resources

State University of New York College at Buffalo

Recommendations: 12

Employee Relations

Employee Engagement

Recruiting

Human Resources

Training

Management

Leadership

Hospitality Industry

Stephen CRCM

Chief Compliance Officer & BSA AML Officer

Greater Los Angeles Area

Chief Compliance Officer & BSA AML Officer

Chief Compliance Officer

Cornell Law School

Université Paris I Panthéon-Sorbonne

University of Southern California

Recommendations: 10

Global Regulatory...

Compliance

CIP

AML

CTF

USA PATRIOT Act

Bank Secrecy Act

People's Bank of China...

Alfred Ayala

Chief Compliance Officer - Senior Vice President

Greater Los Angeles Area

Chief Compliance Officer - Senior Vice President

Personnelist, Aerial Transport and Air Control

Senior Compliance Officer (Chief of Staff) - Vice President

Compliance Programs Administrator - Global Regulatory Compliance

Managing Director

Compliance Manager

University of La Verne

Mt. San Antonio College

Recommendations: 6

Leadership

Risk Management

Employee Training

Compliance Program Management

Analysis

Executive Management

Strategic Planning

Cross-functional Team Leadership

Gary Joyce

Chief Financial Officer and Chief Compliance Officer

Greater Los Angeles Area

Chief Financial Officer and Chief Compliance Officer

Global CFO (Technicolor Group) & Executive Vice President and CFO (Packaged Media)

Group Financial Control

Senior Financial Analyst

Recommendations: 6

Contract Negotiation

Mergers

Managerial Finance

Leadership

Management

Strategy

Budgets

Investments

g****[email protected]

Jeff Engelsman

Managing Director Global Chief Compliance Officer

Greater Los Angeles Area

Managing Director Global Chief Compliance Officer

Director and Associate General Counsel

Attorney

Managing Director New York Life Investments and Chief Compliance Officer MainStay Group of Funds

Director and Senior Counsel

University of Denver - Sturm College of Law

Boston University School of Law

The Wharton School

Recommendations: 5

Compliance

Mutual Funds

Due Diligence

Asset Management

Insurance

Hedge Funds

Asset Managment

Investments

Stephen Hicklin

Senior Litigation Counsel

Greater Los Angeles Area

Senior Litigation Counsel

General Counsel

Senior Counsel

Chief Compliance Officer at Countrywide/Bank of America subsidiary

First Vice President, Senior Counsel

Assistant Vice President, Litigation Counsel

Special Counsel

VP and Legal Counsel

Senior Associate Counsel

Litigation Associate

University of California, Davis - School of Law

California State University-Fullerton

Recommendations: 5

Litigation

Bankruptcy

Legal Research

Legal Writing

Licensing

Real Estate

Corporate Governance

Foreclosures

Arthur L. Culpepper, PhD, FACHE

Chief Compliance Officer

Greater Los Angeles Area

Chief Compliance Officer

Director of Health Services

Consultant

Executive Director

Executive Fellow

Health Care Administrator, Regional Ombudsman

Medical Care Administrator

The University of New Mexico

Webster University

Abilene Christian University

Recommendations: 3

Healthcare

Hospitals

Healthcare Management

Managed Care

Public Health

Clinical Research

Policy

Medicine

Robert Johnson

Chief Compliance Officer

Greater Los Angeles Area

Chief Compliance Officer

Vice President

Director of Labor Relations and Safety

Area Labor Relations Manager

West CoastSenior Director

Port Manager

University of La Verne College of Law

University of Phoenix

Recommendations: 3

Labor Relations

Union Negotiations

Arbitration

Contract Negotiation

Contract Management

Negotiation

Leadership

Supply Chain Management

Bonnie Mizrahi

Sr. VP Corporate Compliance Officer

Greater Los Angeles Area

Sr. VP Corporate Compliance Officer

Company Name The Exceller Fund

Sr. V.P./CRA and Compliance Officer

Compliance Consultant - exclusive engagement with Silicon Valley Bank - Corporate Compliance

Sr. Vice President - Chief Compliance Officer

Association of Certified Anti Money Laundering Specialists

Institute of Certified Bankers

Recommendations: 2

Compliance

BSA

Risk

Privacy

Fair Lending

Bank Secrecy Act

Non-profits

AML

b****[email protected]

Haseeb Omar

Marketing & Media Relations

Greater Los Angeles Area

Marketing & Media Relations

General Counsel and Chief Compliance Officer

Staff Attorney

Partner

Assistant State's Attorney

Graduate Assistant in Political Science

University of Notre Dame Law School

Michigan State University

Andover High School

Recommendations: 2

Litigation

Criminal Law

Immigration

Trial Practice

Civil Litigation

Legal Research

Legal Writing

Writing

h****[email protected]

Russ Lemley

Chief Compliance Officer - American Funds

Greater Los Angeles Area

Chief Compliance Officer - American Funds

Senior Compliance Manager

Securities Compliance Accountant

Account Executive

University of California, Irvine

The Ohio State University

Recommendations: 2

Securities

Mutual Funds

Asset Managment

Investments

Investment Advisory

Equities

Fixed Income

Corporate Governance

r****[email protected]

r*****@capgroup.com

(Desiree) Ann Savage

SVP Legal & Compliance

Greater Los Angeles Area

SVP Legal & Compliance

Training Course Consultant - Mortgage Compliance

General Counsel

Attorney

Chief Compliance Officer & Litigation Manager

Attorney

Assistant General Counsel & Vice-President

Associate Attorney

Intern for Judge Nancy Dreher

University of Minnesota Law School

The College of St. Scholastica

Recommendations: 2

Privacy Law

Training

Mortgage Lending

Corporate Governance

KYC

OFAC

Risk Management

Litigation

d****[email protected]

c****[email protected]

Edward Brady, CAMS

President and Lead Independent BSA / AML Compliance Consultant

Greater Los Angeles Area

President and Lead Independent BSA / AML Compliance Consultant

Vice-President and Chief Compliance Officer

Paralegal

California State University-Northridge

Recommendations: 2

Risk Management

AML

Financial Services

Business Strategy

Due Diligence

Financial Analysis

Management

Finance

Elizabeth Haughton

Chief Compliance Officer & Associate General Counsel

Greater Los Angeles Area

Chief Compliance Officer & Associate General Counsel

Vice President, Legal Affairs

American University Washington College of Law, Whittier College School of Law

Loyola Marymount University

Recommendations: 1

Legal Research

Corporate Law

Health Law

Litigation

Legal Writing

Contract Negotiation

Negotiation

Mergers & Acquisitions

e****[email protected]

Jessica Carroll

EVP, Chief Mortgage Compliance Officer

Greater Los Angeles Area

EVP, Chief Mortgage Compliance Officer

Compliance Manager

Managing Director, Chief Compliance Officer

VP, Compliance

SVP, Cons/ Retail Compliance Executive

FVP, Fair Lending/ Fair Servicing Officer

Systems Trainer / Compliance

California State University, Northridge

Recommendations: 1

Risk Management

Mortgage Lending

Loans

Credit

Banking

Financial Risk

Mortgage Banking

Operational Risk

Arlene Goldman

Chief Compliance Officer

Greater Los Angeles Area

Chief Compliance Officer

Owner

Recommendations: 1

Weddings

Custom Ceremonies

Interfaith Ceremonies

Non-Denominational Ceremonies

Personalized Ceremonies

Vow Renewals

Baby Blessings

Ceremonies

f****[email protected]

i****[email protected]

Mazi Bahadori

Summer Associate

Greater Los Angeles Area

Summer Associate

Chief Compliance Officer & Director of Operations

Research Assistant

Vice President

Investment Advisor

Chief Compliance Officer

Summer Associate

Chief Compliance Officer and Vice President of Securities

Chairman, Investment Advisory Commission

Chapman University, School of Law

Chapman University, The George L. Argyros School of Business and Economics

University of California, Berkeley

Recommendations: 1

Series 7

Series 66

Courtney Barton

Chief Compliance & Privacy Officer

Greater Los Angeles Area

Chief Compliance & Privacy Officer

Vice President, Chief Compliance Officer

Head of Corporate Compliance

Director, Business Compliance Allergan Medical

Director, Corporate Compliance & Global Data Privacy

Syracuse University

Recommendations: 1

Data Privacy

Risk Assessment

Private Investigations

Project Management

Policy

Cross-functional Team...

Privacy Law

Medical Devices

Micheal Sheehy

Deputy Chief Compliance Officer (VP)

Greater Los Angeles Area

Deputy Chief Compliance Officer (VP)

Chief Compliance Officer/BSA Officer

Global KYC/AML Compliance Snr Manager (Compliance Operations)

Business Analyst

Transfer Agent

Project Manager (AVP) (Contract Role)

Senior Consultant

Director - Head of Compliance (EU)

Dublin City University

National College of Ireland

CBS Dingle

Recommendations: 0

Mutual Funds

Transfer Agency

Financial Risk

Fund Administration

Fund Accounting

Hedge Funds

Securities

Financial Services

Christopher Mates

Chief Legal & Compliance Officer

Greater Los Angeles Area

Chief Legal & Compliance Officer

First Vice President - Derivative Sales & Clearing

Chief Executive Officer (CEO) / Chief Compliance Officer (CCO) / Owner

Chief Compliance Officer (CCO) & Financial Operations Principal (FINOP)

Chief Operating Officer (COO) / Chief Compliance Officer / Founder

Chicago-Kent College of Law, Illinois Institute of Technology

Xavier University

Miami University

Recommendations: 0

Derivatives

Hedge Funds

Commodity

Fixed Income

Options

Equities

Trading

Alternative Investments

c****[email protected]

Michael Sanchez

Chief Operating Officer & Chief Compliance Officer

Greater Los Angeles Area

Chief Operating Officer & Chief Compliance Officer

Chief Compliance Officer

Director of Business Development

Chief Compliance Officer

Chief Operating Officer & Chief Compliance Officer

University of Southern California

Amherst (MA) Regional High School

Recommendations: 0

Securities

Series 7

Asset Managment

Hedge Funds

Equities

Investments

Due Diligence

Portfolio Management

Lynn Sullivan, CAMS

EVP, BSA and OFAC

Greater Los Angeles Area

EVP, BSA and OFAC

Director

Director, Governing Board

EVP, Chief Compliance Officer

SVP, Bank Secrecy Act and OFAC Officer

VP, BSA and Deposit Operations Manager

Senior Compliance Officer

University of California, Santa Barbara

Recommendations: 0

BSA

OFAC

AML

Compliance

Fraud Prevention

Banking

Risk Management

KYC

Jean Lim

Board Member

Greater Los Angeles Area

Board Member

Chief Risk Officer

Board Member

Chief Compliance Officer

Stanford University

Island School, Hong Kong

Recommendations: 0

Banking

Credit

Financial Risk

Risk Management

Compliance

BSA

Anti Money Laundering

Sarbanes-Oxley

Daniel Navid Rastein, MD, MPH

Chief Compliance Officer

Greater Los Angeles Area

Chief Compliance Officer

Medical Consultant, IBC Services

Founder, CEO

Head Faculty, Adviser, Lecturer

Dedicated Volunteer and Board Member

Faculty

US EHS Operations Lead

Chief Compliance Officer

FDA Research Compliance Officer, Sr. Corporate Compliance Officer, BioSafety Compliance

University of California, Los Angeles - School of Public Health

Recommendations: 0

Healthcare

Strategic Planning

Medical Devices

Business Development

Project Management

Process Improvement

Team Building

Program Management

r****[email protected]

Matt Sonnen

Founder & CEO

Greater Los Angeles Area

Founder & CEO

Vice President

Chief Operating Officer and Chief Compliance Officer

Director of Operations and Chief Compliance Officer

Financial Analyst

University of California, Los Angeles

University of California, Santa Barbara

Recommendations: 0

Wealth Management

Operations Management

Compliance

Practice Management

Robert S. De Leon

SVP, General Counsel & Chief Compliance Officer

Greater Los Angeles Area

SVP, General Counsel & Chief Compliance Officer

Consultant/Interim GC & CCO

SVP & General Counsel

Associate General Counsel, Investment Management

V.P., Counsel & Asst. Secretary

General Counsel

Senior Counsel

Associate (Litigation and Dispute Resolution)

Associate (Corporate/Litigation)

Harvard Law School

Rutgers College

Recommendations: 0

Corporate Law

Securities Regulation

Investment Management

Hedge Funds

Separately Managed Accounts

Mutual Funds

Asset Managment

Investment Company Act

r****[email protected]

Gracie Fermelia

Chief Operating Officer, Chief Compliance Officer

Greater Los Angeles Area

Chief Operating Officer, Chief Compliance Officer

University of Utah

Recommendations: 0

f****[email protected]

Jeff Miller

President and Chief Legal Officer

Greater Los Angeles Area

President and Chief Legal Officer

Assistant General Counsel

Associate

Vice President, Deputy General Counsel and Assistant Secretary

Senior Vice President and General Counsel

Senior Vice President, General Counsel and Chief Compliance Officer

Executive Vice President, General Counsel and Chief Compliance Officer

Georgetown University Law Center

The Johns Hopkins University

Duke University

Recommendations: 0

Corporate Governance

Joint Ventures

Licensing

Litigation

Healthcare

Health Law

Private Equity

International Law

Shemika Jones

Vice President, Internal Audit

Greater Los Angeles Area

Vice President, Internal Audit

Vice President, Enterprise Risk Management-Corporate Policies & Procedures

Director, Risk Governance

Vice President - Operational Integrity

Chief Compliance Officer/Chief Risk Officer-PayNearMe MT, Inc. (subsidiary of Handle Financial, Inc.

First Vice President, Enterprise Risk Management, Chief Administrative Officer

Vice President, Enterprise Risk Management

Audit Manager

Contractor, Critical Human Resource Projects

Chief Risk Officer

First Vice President, Enterprise Risk Management - Internal Controls

Illinois State University

Recommendations: 0

Kevin MD

Chair, Radiology Department

Greater Los Angeles Area

Chair, Radiology Department

Chief of the Medical Staff

President

Radiologist and Chief Compliance Officer

Radiologist, CFO, VP Finance, Medical Director

Brown University

University of Ottawa

The University of British Columbia / UBC

Recommendations: 0

k****[email protected]

Arthur Brown

Partner, Alternative Investment Group

Greater Los Angeles Area

Partner, Alternative Investment Group

Partner, West Region Assurance Practice Leader - Financial Services

Partner

Senior Manager

Chief Financial Officer and Chief Compliance Officer

CFO

Audit Manager

Specialist E-4 - 74th U.S. Army Band (July 1988 - June 1990)

Marist College

Dutchess Community College

Recommendations: 0

Fund Of Funds

Accounting

Alternative Investments

Asset Managment

Auditing

CPA

Capital Markets

Due Diligence

Michael Tyler

Associate

Greater Los Angeles Area

Associate

Senior Vice President, General Counsel & Chief Compliance Officer

Executive Vice President, General Counsel & Secretary

Law Clerk, Hon. Arthur Alarcon

Senior Corporate Counsel -- International

Senior Vice President, Chief Legal & Administrative Officer

University of Cambridge

Loyola Law School, Los Angeles

University of California, Los Angeles

Recommendations: 0

Corporate Governance

Human Resources

Mergers & Acquisitions

Cross-functional Team Leadership

Procurement

Intellectual Property

Corporate Law

Litigation

David Wright

Lead Portfolio Manager, Sierra Core Retirement Fund

Greater Los Angeles Area

Lead Portfolio Manager, Sierra Core Retirement Fund

Co-founder, Managing Director and Chief Compliance Officer

Co-Owner; Managing Director; Co-Portfolio Manager; Chief Compliance Officer

University of Chicago Law School

Swarthmore College

Recommendations: 0

p****[email protected]

Mike Herman

Chief Compliance Officer

Greater Los Angeles Area

Chief Compliance Officer

Registered Principal

Chief Compliance Officer, Strategic Wealth Advisors Group

Administrative Principal

University at Albany, SUNY

North Carolina State University

Recommendations: 0

Securities

FINRA

Asset Managment

Investment Advisory

AML

Wealth Management

Investments

Series 7

Logan Marcus

General Counsel and Chief Compliance Officer

Greater Los Angeles Area

General Counsel and Chief Compliance Officer

Contract Attorney

Associate Attorney

Contract Attorney (Concurrently with McCarthy Holthus)

Associate Attorney

California Western School of Law

Syracuse University, College of Arts & Sciences

Newton North High School

Recommendations: 0

Legal Writing

Trials

Litigation

Legal Research

Courts

Hearings

Criminal Law

Personal Injury

Leon Schwartzman

Managing Director, Chief Risk Officer & Chief Compliance Officer

Greater Los Angeles Area

Managing Director, Chief Risk Officer & Chief Compliance Officer

Analyst / Associate

UCLA

Recommendations: 0

Emma CPA

Assistant Controller

Greater Los Angeles Area

Assistant Controller

Tax Associate II

Assurance Associate

Chief Compliance Officer

Senior Financial Analyst

Controller

University of Southern California - Marshall School of Business

Drew University

Recommendations: 0

e****[email protected]

John Yung

Sr. Compliance Officer

Greater Los Angeles Area

Sr. Compliance Officer

Compliance Officer, Senior

Principal and Chief Compliance Officer

Trader/Client Service Rep

Chief Compliance Officer

Compliance Consultant

Compliance Analayst

Loyola Marymount University

Recommendations: 0

Regulatory Compliance

Investments

Investment Management

Alternative Investments

Hedge Funds

Securities

Charles River IMS

Asset Managment

j*****@aol.com

Kristy Haley

Chief Compliance Officer - Advisory

Greater Los Angeles Area

Chief Compliance Officer - Advisory

Deputy CCO Advisory/Director Advisory Compliance

Assistant Vice President Compliance

Director Advisory Compliance

Chief Compliance Officer / Branch Manager

Eckerd College

University of South Florida

Recommendations: 0

Investment Advisory

Series 7

Series 63

Series 24

Series 65

Regulatory Compliance

ERISA

Equities

k****[email protected]

Stephen Remboski, CFA

Chief Compliance Officer

Greater Los Angeles Area

Chief Compliance Officer

VP GIPS Compliance Consulting

VP Investment Performance Analytics

VP Product Management

Audit & Accounting Committee

VP Peer Group Comparisons

The Institute of Chartered Financial Analysts

California State University-Northridge

Recommendations: 0

Portfolio Management

Mutual Funds

Alternative Investments

Financial Services

Performance Attribution

Asset Management

Performance Measurement

Investment Management

s*****@earthlink.net

Laura Riffel

Broker/Owner/Team Leader

Greater Los Angeles Area

Broker/Owner/Team Leader

National Sales and Marketing Director

VP Sales and Marketing

Chief Financial Officer

Supervising Broker/Owner

Chief Compliance Officer

Supervising Broker of the Real Estate Division

Fullerton College

Recommendations: 0

Real Estate

Asset Managment

Investors

Corporate Finance

Mortgage Lending

Manufactured Housing

Mobile Homes

Mobile Home Parks