Outstanding Compliance Professionals in the Financial Services Industry Honored at COMPLYConnect ‘24

COMPLYConnect Awards recognize CCOs, CEOs, and compliance professionals who inspire their peers and are leading the industry in innovation and education

NEW YORK, Oct. 28, 2024 (GLOBE NEWSWIRE) — COMPLY, the premier compliance solution provider for financial services firms around the world, announced the winners of its annual COMPLYConnect Awards, honoring exemplary compliance officers and practitioners who are helping their organizations navigate unprecedented regulatory challenges and change. The awards were announced last week in Austin at COMPLYConnect 2024, the industry’s largest conference dedicated to educating and supporting compliance professionals in financial services, and specifically IACCP^® members.

“This year’s COMPLYConnect award winners are not just leading the way among their peers; they are at the forefront of compliance for the entire financial services industry,” said Michael Stanton, COMPLY Chief Executive Officer. “We received a record number of exceptional submissions this year, underscoring the strides compliance professionals are making in leading their firms through incredibly challenging and volatile regulatory change. This is an achievement all award nominees and winners should be proud of.”

COMPLYConnect 2024 Award winners:

• Compliance Officer of the Year: James Clements, Chief Compliance Officer, Carson Group
• Compliance Innovator of the Year: Felice Olmos, Compliance Manager, Financial Concepts
• Compliance Provider of the Year: Vall Herard, CEO, Saifr
• Compliance Educator of the Year: Colleen Keefe, Compliance Manager, AssuredPartners Investment Advisors
• Future Compliance Star of the Year: Jennifer Singer, Compliance Lead, Human Capital Investment Management LLC

Hundreds of award submissions were received across the five categories, and nominations were reviewed and vetted by a selection committee led by COMPLY Chief Regulatory Officer John Gebauer. The awards were presented during the 2024 COMPLYConnect Conference in Austin, TX.

“Over the last 40 years, this conference has evolved into what is now COMPLYConnect, the industry’s leading continuing education conference, providing compliance professionals in financial services with a front-row seat to the latest news and trends shaping compliance, risk, and governance, as well as the opportunity to hear directly from industry leaders and regulatory authorities,” said Wendy Werve, COMPLY Chief Market Officer. “This year’s event attracted more than 250 attendees and featured more than 50 speakers, including keynotes from the SEC and presentations by regulatory experts and compliance practitioners. With so much happening on the regulatory front, we look forward to expanding the event and expect attendance at next year’s COMPLYConnect to exceed this year’s.”

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In addition to earning IACCP CE, CLE (including California and Texas CLE), CPE, and CFP^® continuing education credits, the four-day event offered attendees access to education and technology sessions on topics ranging from Generative AI to Cryptocurrency and the new Marketing Rule as well as breakouts focused on best practices for maintaining compliance amid heightened regulatory pressures. Event participants were also invited to meet with leading compliance solution providers, including Advyzon, Broadridge, Capital Rock, Charles Schwab, Chicago Clearing Corporation, COMPLY, Egnyte, InvestorCOM, Mission Cloud, MorningStar, Smarsh, Starkweather and Shepley Insurance Brokerage Inc., and Travelers, all of whom were part of the Sponsor Showcase.

Follow COMPLYConnect on LinkedIn for updates.

About COMPLY

COMPLY’s solutions are designed specifically to address the unique use cases and regulatory challenges faced by financial services firms. As the only regulatory compliance technology provider and partner to deliver employee and firm compliance software, services, education, and support in one comprehensive offering, COMPLY ensures that firms remain vigilant in their compliance efforts as they evolve and scale. As the global market leader and premier compliance partner, COMPLY’s software solutions are designed to manage the burden of complex compliance tasks for firms large and small. The company’s software and solutions, backed by deep industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes – support more than 7,000 clients, including investment management firms, private equity firms, hedge funds, broker-dealers, registered investment advisers, and other financial service sector participants.

Learn more at COMPLY.com.

Contact:
Brianna Fredriksen
302-593-5404
bfredriksen@comply.com