NEW YORK, Nov. 9, 2023 — A COMPLY™ announcement yesterday detailed its second annual COMPLYConnect Awards honoring dedicated and innovative compliance professionals in the financial services industry. COMPLY is the global market leader of compliance software, consulting and education resources for the financial services sector.
“Compliance professionals play a vital and strategic role, enabling financial services companies to successfully achieve their goals, while also ensuring that the financial markets operate fairly for all participants,” COMPLY Chief Regulatory Officer John Gebauer said. “While these professionals often work outside of the spotlight and may not always be acknowledged for their efforts, we know that their dedication to excellence and innovation enables their firms and institutions to reach great heights.”
The 2023 winners and finalists are:
Compliance Officer of the Year
- Award winner – Mario Chilin, EP Wealth Advisors
- Finalist – Bliss Bernal, Crestone Asset Management
- Finalist – Kenneth Lepore, Annexus (Integrity Marketing Group)
- Finalist – Emily Teran, Cynosure Management LLC
Compliance Innovator of the Year
- Award winner – Jessica Rice, Bridgewater
- Finalist – Ari Cohen-Hausman, DriveWealth
- Finalist – Dan Leonard, Powering Your Retirement
Compliance Provider of the Year
- Award winner – CapitalROCK
- Finalist – Advyzon
- Finalist – Smarsh
Compliance Educator of the Year
- Award winner – Matthew Dramer, General Atlantic
- Finalist – Michael Rasmussen, FinProLaw, LLC
- Finalist – Kyrstin Ritsema, Compliance Solutions Strategies
Future Compliance Star of the Year
- Award winner – Jade Franke, Retirement Investment Advisors, Inc.
- Finalist – Heather Collins, Keen Wealth Advisors
- Finalist – Jessica Winternheimer, PINE Advisor Solutions
All nominations for the ComplyConnect Awards were reviewed by a selection committee, led by COMPLY Chief Regulatory Officer John Gebauer.
The awards were presented during the 2023 COMPLYConnect conference in Huntington Beach, California.
COMPLY Announces COMPLYConnect 2024
COMPLY unveiled the date and location for the third annual COMPLYConnect Conference & Expo. Returning to the Omni Barton Resort & Spa in Austin, Texas, the location of the inaugural COMPLYConnect Conference & Expo, the 2024 event will take place Oct. 22-24.
For more information and to receive early access to tickets, visit complyconnectexpo.com.
About COMPLY
As a global market leader in regulatory compliance solutions, COMPLY combines the power of regulatory technology, services and education to empower Chief Compliance Officers (CCOs) and compliance professionals to easily navigate the regulatory landscape. COMPLY enables firms to scale their growth, while remaining vigilant in their compliance efforts, by providing solutions designed to manage the burden of complex compliance tasks. Our deep bench of industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes from our product portfolio offerings ComplySci, RIA in a Box and NRS — supports more than 7,000 clients, including private equity firms, hedge funds, broker-dealers, registered investment advisers and other financial service sector participants.
COMPLY continually supports clients in their work to proactively address core compliance challenges – minimizing risk, addressing critical priorities and meeting new demands as the industry evolves and the firm scales.
Media Inquiries
Donald Cutler / Lorene Yue
Haven Tower Group
424-317-4850 / 424-317-4854
dcutler@haventower.com / lyue@haventower.com
