Note: ComplySci companies and employees are not eligible to participate.
of the Year
This award recognizes an outstanding chief compliance officer within the financial industry for their dedication and commitment to elevating their organization’s compliance program in 2022.
Award winner – Una Neary, global chief compliance officer at BlackRock Inc.
- Mario Chilin, chief compliance officer and partner at EP Wealth Advisors.
- John Elzayek, chief compliance officer at Householder Group Estate and Retirement Specialists LLC.
- Stefan Simpson, chief compliance officer and director of business operations at BentOak Capital.
of the Year
Awarded to an individual who has proven their ability to rethink the compliance landscape, providing new solutions to meet evolving risks and regulations.
Award winner – Halie Smith, branch operations manager at V Wealth Advisor LLC.
- Justin Kulla, partner and head of impact investing and ESG at TZP Group.
- Anu Willoughby, global chief operating office, legal and compliance at Jefferies.
of the Year
Dedicated to an organization which has provided its clients with the tools and technology to overcome core compliance challenges.
Award winner – InvestorCom Inc.
- PINE Advisor Solutions.
- Riskalyze, Inc.
Compliance Educator of the Year
This award recognizes an individual or organization which has made outstanding contributions to the continued education of compliance professionals.
Award winner – Craig Watanabe, director of IA compliance at DFPG Investments LLC.
- Steven Weiss, chief compliance officer and general counsel at Roosevelt Investments.
- Stan Yakoff, head of Americas supervision at Citadel Securities.
Future Compliance Star of the Year
In recognition of an individual whose star is on the rise, with significant accomplishments within the compliance industry.
Award winner – Scott Brown, associate director at PINE Advisor Solutions.
- Benjamin Doherty, vice president, counsel and compliance officer at Natixis Investment Advisors LLC.
- Kristen Grubba, compliance specialist at Pure Financial Advisors LLC.
- Rebecca Havens, senior compliance manager at Creative Planning LLC.
Lifetime Achievement Award Honoree
Awarded to an individual who has dedicated their career to enhancing and elevating the compliance industry through professional achievement, insight, education and mentorship.
PLLC Managing Member Elizabeth Knoblock