Top Chief Compliance Officers in Greater Minneapolis-St. Paul Area
Tom Kelly
Director Analyst Relations for NetSuite
Greater Minneapolis-St. Paul Area
Director Analyst Relations for NetSuite
Chief Financial Officer
CFO/CIO
Principal
CFO/CIO
CFO & VP of Operations Delivery
Chief Financial Officer
CFO/Chief Compliance Officer
Fordham University - Graduate School of Business Administration
North Carolina State University
Recommendations: 13
Mergers
Strategic Planning
Cloud Computing
Joint Ventures
Capital Development
Capital
Strategy
SaaS
t****[email protected]
t****[email protected]
Cindy Cook DeRuyter
Owner/Attorney
Greater Minneapolis-St. Paul Area
Owner/Attorney
Chief Compliance Officer
Assistant Vice President, Compliance Manager
Compliance Manager
Compliance Manager
Market Conduct Manager
Hamline University School of Law
Concordia University-Wisconsin
Northern State University
Recommendations: 13
Estate Planning
Trusts
Wills
Insurance
Investment Advisory
Financial Services
Corporate Law
Compliance
c*****@deruyterlaw.com
Jacqueline (Jackie) Hourigan Rice
Chief Risk & Compliance Officer
Greater Minneapolis-St. Paul Area
Chief Risk & Compliance Officer
Chief Compliance Officer
Executive Director, Global Ethics & Compliance
Attorney
Process Leader, Global Transactions
Attorney & IT Global Process Leader
Attorney, Buick Motor Division
University of Detroit Mercy School of Law
Michigan State University
Recommendations: 4
p****[email protected]
j****[email protected]
Sherilyn K. Beck
Privacy Officer
Greater Minneapolis-St. Paul Area
Privacy Officer
Chief Compliance Officer
Director, Retail Retirement Business Unit Compliance Liaison
Director - Compliance, and Senior Trust Officer
CEO and co-owner
Legal Recruiter
Attorney
Assistant Corporate Secretary
William Mitchell College of Law
University of Minnesota-Twin Cities
University of St. Thomas
Recommendations: 4
Securities
Corporate Governance
Mergers
Start-ups
Series 7
Risk Management
Mergers & Acquisitions
Corporate Finance
s****[email protected]
Rick Kotovic
Chief Compliance Officer
Greater Minneapolis-St. Paul Area
Chief Compliance Officer
Sr. Institutional Equity Sales Trader
Application Sales
Sr. Futures Trader
University of St. Thomas
Milwaukee School of Engineering
University School of Milwaukee
Recommendations: 1
Series 7
Equities
Trading
Hedge Funds
Derivatives
Series 24
Prime Brokerage
Electronic Trading
r****[email protected]
Michael LaFontaine
Managing Director
Greater Minneapolis-St. Paul Area
Managing Director
Co-Founder
Executive Vice President, Chief Operational Risk Officer
Senior Vice President, Deputy Chief Risk Officer
Chief Compliance Officer
Vice President and Corporate Counsel
Hamline University School of Law
University of Minnesota-Twin Cities
Recommendations: 0
Credit
Banking
Portfolio Management
Financial Analysis
Financial Risk
Risk Management
Fraud
Operational Risk
m****[email protected]
Andy Small
General Counsel & Chief Compliance Officer
Greater Minneapolis-St. Paul Area
General Counsel & Chief Compliance Officer
Chief Legal & Risk Officer
Senior Enforcement Attorney
DePaul University College of Law
Michigan State University
St Ignatius
Recommendations: 0
Risk Management
Compliance
Securities
FINRA
Investments
Financial Risk
Mutual Funds
Securities Regulation
a****[email protected]
Jim Zappa
Executive Vice President and General Counsel
Greater Minneapolis-St. Paul Area
Executive Vice President and General Counsel
Vice President, Associate General Counsel, Chief Compliance Officer
Associate General Counsel - International
Assistant General Counsel - Consumer and Office Business & Human Resources
Employee Relations Director
University of Minnesota Law School
University of Southern California
Drake University
Recommendations: 0
Contract Negotiation
Mergers
Compliance
Employment Law
Negotiation
Employee Relations
International Business...
Litigation
j****[email protected]
Jesse Winsell
Community Relations Writer/Policy Analyst
Greater Minneapolis-St. Paul Area
Community Relations Writer/Policy Analyst
Community Relations Specialist
Reporter/Photographer/Editor
Chief Compliance & Privacy Officer Human Services & Public Health
Data Practices and Privacy Official
Chief Compliance Officer
Assistant Compliance Officer/Privacy Officer
Hamline University School of Law
Recommendations: 0
Managed Care
HIPAA
Legal Writing
Privacy Law
Medicaid
Medical Compliance
Health Law
Policy
j****[email protected]
Gary Corbin
Chief Compliance Officer
Greater Minneapolis-St. Paul Area
Chief Compliance Officer
Troy University
Recommendations: 0
HIPAA
Healthcare
Healthcare Consulting
Business Development
Budgets
Case Management
Case Managment
Clinical Research
g****[email protected]
Val McGary
Associate Principal
Greater Minneapolis-St. Paul Area
Associate Principal
Senior Vice President
Chief Compliance Officer
SEVP
Deputy Director, Operational Risk & Compliance
EVP, Sustainable Process Solutions
Dartmouth College - The Tuck School of Business at Dartmouth
The George Washington University
Louisiana State University
Recommendations: 0
Financial Modeling
Portfolio Management
Strategy
Mergers
Financial Services
Corporate Development
Valuation
Private Equity
v****[email protected]
Farhiyo Abdulkarim
Emerging Arts Writer
Greater Minneapolis-St. Paul Area
Emerging Arts Writer
Chief Compliance Officer
Lead Teller
Concordia University-St. Paul
Recommendations: 0
Creative writing
Public Speaking
SEO Technique
HTML
AP Style
Microsoft Office
Copywriting
Strategic Public Relations Planning
a****[email protected]
Jani CFCS
Credit Review Officer
Greater Minneapolis-St. Paul Area
Credit Review Officer
Vice President - Enterprise Risk
Chief Compliance Officer
Manager of International Payments and Prepaid Group
Buena Vista University
Recommendations: 0
Prepaid
Prepaid Cards
Mobile Payments
AML
Risk Management
AML Training
AML Reviews
AML Program Development
j*****@comcast.net
Scott Creutzmann
Chief Compliance Officer
Greater Minneapolis-St. Paul Area
Chief Compliance Officer
VP, Group Counsel
Assistant General Counsel
Legal Counsel
Associate Counsel
Claims Counsel
Drake University Law School
Bradley University
THS
Recommendations: 0
Litigation Management
Insurance
Corporate Governance
Insurance Law
General Insurance
Arbitration
Claim
Compliance
s****[email protected]
Matthew Bogart
General Counsel & Chief Compliance Officer
Greater Minneapolis-St. Paul Area
General Counsel & Chief Compliance Officer
University of Iowa College of Law
University of Colorado Boulder - Leeds School of Business
University of Colorado Boulder
Recommendations: 0
m****[email protected]
Adil Elamri
Project and Development Coordinator
Greater Minneapolis-St. Paul Area
Project and Development Coordinator
Chief Compliance Officer
Senior Compliance Officer
Business Consultant
Chief Compliance Officer
Surveillance Analyst
Jacksonville University
Institut DES haute etude de management
Recommendations: 0
Risk Analysis
Forecasting
Options
Trading
Derivatives
Equities
Series 7
Electronic Trading
a****[email protected]
Warren Zaccaro
Executive Vice President, Chief Financial Officer and Chief Compliance Officer
Greater Minneapolis-St. Paul Area
Executive Vice President, Chief Financial Officer and Chief Compliance Officer
Partner
Bentley University
Recommendations: 0
w****[email protected]
Theresa Seto Alewine
Chief Compliance Officer
Greater Minneapolis-St. Paul Area
Chief Compliance Officer
Compliance Director - IAG, Retirement & Trust Services
Compliance Manager - Investment Advisory Services
Compliance
Augsburg College
Concordia University-St. Paul
University of Minnesota-Duluth
Yoga Center of Minneapolis
Recommendations: 0
Retirement
Series 7
Securities
Mutual Funds
Series 63
FINRA
Investment Advisory
Series 24
t****[email protected]
Michael Kootsikas
Director of National Accounts
Greater Minneapolis-St. Paul Area
Director of National Accounts
Director of Trading
Head of Futures Trading
Chief Compliance Officer
Carleton College
Rosemount High School
Recommendations: 0
k****[email protected]
Corey RICP®
Head of Business Development & Relationship Management
Greater Minneapolis-St. Paul Area
Head of Business Development & Relationship Management
Chief Operating Officer
Chief Compliance Officer
Head of Advisory Distribution
SVP, Strategic Accounts
SVP, Marketing
University of Minnesota - Carlson School of Management
Minnesota State University, Moorhead
Recommendations: 0
c****[email protected]
c****[email protected]
Chris Koshire
Staff Attorney & Chief Compliance Officer
Greater Minneapolis-St. Paul Area
Staff Attorney & Chief Compliance Officer
Attorney
General Counsel & Compliance Officer
Corporate Attorney
William Mitchell College of Law
University of St. Thomas
Recommendations: 0
c****[email protected]
Tom Rippberger
Financial Planner
Greater Minneapolis-St. Paul Area
Financial Planner
Company Name
AdvisorNet Financial
Senior Director
Vice President / Chief Compliance Officer
Vice President / Chief Compliance Officer
William Mitchell College of Law
Chicago-Kent College of Law, Illinois Institute of Technology
St. Olaf College
Recommendations: 0
Financial Planning
Securities
Investment Advisory
ERISA
Insurance
Broker-Dealer Compliance
Investment Advisers Act
Compliance
t****[email protected]
Ann Tobin
Associate Attorney
Greater Minneapolis-St. Paul Area
Associate Attorney
Chief Legal Officer and VP of Human Resources
Vice President & General Counsel, SmithKline Beacham
General Counsel, United Healthcare and SmithKline Beacham
Social Studies Teacher and Tennis Coach
Chief Compliance Officer
Senior Deputy General Counsel, UnitedHealthcare Medicare & Retirement (2007 – 2008)
Senior Legal Counsel, Legal--Regulatory and Compliance
Assistant General Counsel
Vice President and General Counsel
Assistant General Counsel, United Healthcare
Deputy General Counsel and Senior Privacy Counsel, United Health Group
Deputy General Counsel, Ovations
Senior Legal Counsel, Cardiac Rhythm Management
Assistant General Counsel
Northwestern University School of Law
Duke University
Oberlin College
Recommendations: 0
Compliance
Pharmcy Benefit...
Managed Care
HIPAA
Data Privacy
Health Insurance
Healthcare
Healthcare Management
b****[email protected]
Dan Roach
Board Member & past President
Greater Minneapolis-St. Paul Area
Board Member & past President
Member, Audit & Compliance Committee of the Board of Directors
Co-Chair
In-house counsel
Chief Compliance Officer
Member, Corporate Responsibility Committee of the Board of Directors
VP Compliance & Audit
General Counsel and Chief Compliance Officer
William Mitchell College of Law
Bethel College, St. Paul MN
Recommendations: 0
Healthcare Industry
Ethics
FCPA
HIPAA
Risk Management
Legal Writing
Health Law
Public Speaking
d****[email protected]
Vicki Lubben
Principal Attorney
Greater Minneapolis-St. Paul Area
Principal Attorney
Owner and Attorney
Associate General Counsel and Chief Compliance Officer
Vice President and Group Counsel
University of Iowa
Luther College
Recommendations: 0
Compliance
Securities Regulation
Securities Law
AML
FINRA
Privacy and Data...
Commercial Transactions...
Insurance Law
l****[email protected]
Donald Merrell
Compliance Manager
Greater Minneapolis-St. Paul Area
Compliance Manager
Audit Project Manager
Regional Compliance Manager
Compliance
Compliance Manager
Compliance Specialist
Chief Compliance Officer
Surveillance Analyst
Assistant Surveillance Analyst
Advisory Accounts Administrator
Recruiter
Business Advisor
University of Wisconsin-Eau Claire
Recommendations: 0
Series 24
Series 7
Series 4
Series 9/10
Series 63
Series 65
Business Relationship Management
FINRA
d****[email protected]
Jean Lance
VP, Human Resources & General Counsel, Corporate Counsel
Greater Minneapolis-St. Paul Area
VP, Human Resources & General Counsel, Corporate Counsel
Vice President Legal Services/Deputy General Counsel
Associate Attorney
VP and General Counsel
SVP, Assistant General Counsel, Worldwide Businesses
Global Life Sciences Attorney and Compliance Expert
SVP and Chief Compliance Officer
University of Minnesota Law School
Minnesota State University, Mankato
Recommendations: 0
Corporate Governance
Global Regulatory Compliance
FDA
Mergers
Medical Compliance
Mergers & Acquisitions
Compliance
FCPA
Mike Brennan
Fortitude Re, Head of Legal, Annuities and Insurance
Greater Minneapolis-St. Paul Area
Fortitude Re, Head of Legal, Annuities and Insurance
VP - Chief Compliance Officer, RiverSource
President
Vice President - Corporate Compliance & Ethics
Chief Compliance Officer
Chief Compliance Officer & Associate Counsel
Associate Counsel
Counsel
Villanova University School of Law
Saint John's University
Recommendations: 0
Katherine JD
Vice President Corporate Compliance, Chief Compliance Officer
Greater Minneapolis-St. Paul Area
Vice President Corporate Compliance, Chief Compliance Officer
Director, Business Unit Compliance
Sr. Vice President and Chief Compliance Officer
Administration and Compliance
Vice President and Chief Compliance Officer
VP and Care Group Compliance Officer
William Mitchell College of Law
Recommendations: 0
Healthcare Administration
Cross-functional Team Leadership
Professional Mentoring
Strategic Planning
Program Development
Compliance
Human Resources
Research
Jeffrey Pruitt
Chief Compliance Officer
Greater Minneapolis-St. Paul Area
Chief Compliance Officer
Regional Team Lead and Investor Representative
Independent Compliance Consultant
Chief Compliance Officer
Investment Product Manager
Disability Income Insurance Specialist
Senior Vice President / Chief Compliance Officer
Director & Chief Compliance Officer - Investment Company Compliance
Shareholder Services Manager / Customer Service Manager
Registered Representative
University of St. Thomas
Hamline University
Recommendations: 0
