Global Chief Compliance Officer play a crucial role in any startup. It takes an extraordinary person to fulfil the Global Chief Compliance Officer role. We have selected these Global Chief Compliance Officer’s for this list as they are inspiring for a variety of reasons – whether that’s pushing boundaries, creating groundbreaking products, or doing their bit to save the world.
Our analysts did their best to select be best, and most innovative Global Chief Compliance Officer’s. The list is in no particular order!
Niamh Grogan
Global Chief Compliance Officer @ Willis Towers Watson
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Willis Towers Watson is a global advisory and solutions company that helps clients around the world turn risk into a path for growth. Read more aboutWillis Towers Watson on Crunchbase…
Myles Edwards
General Counsel & Chief Compliance Officer @ Constellation Wealth Advisors, LLC
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Myles Edwards is Constellation’s General Counsel and Chief Compliance Officer. Previously, Myles has served as General Counsel, Chief Compliance Officer and Managing Director for Onshore and Offshore Hedge Funds, FINRA member Broker-Dealers and SEC Registered Investment Advisers. He has over twenty years of diversified experience in the securities and financial services industry. Myles J. Edwards is widely regarded as a leading expert in international private fund regulatory schemes, serves frequently on conference panels and is a noted author on compliance and risk. Myles Edwards is an adjunct professor in the Financial Services LLM Program at New York Law School lecturing on various topics including “best practices” for Portfolio Managers and aspects of operating in offshore domiciles. He is on the Board of Directors of the Alliance of Merger & Acquisition Advisors (“AM&AA”) assisting with expanding the knowledge base for participants in the New York middle tier investment banking and private equity sector. He is one of the founding members of the Trans-Atlantic Financial Forum which assists governmental officials in Washington and London in developing policy and legislation affecting the alternative investment community. Beginning January 1, 2012, Myles will be serving a three-year term as a Small Firm Representative on the FINRA District 10 Committee. Myles also serves as a Hearing Panelist for FINRA District 10. Myles J. Edwards is admitted to practice law in the District of Columbia, New Jersey, the Federal District Court of Newark and before the United States Supreme Court. He holds Series 7, 24 and 63 FINRA registrations as well as the Series 53 MSRB Municipal Securities Principal registration. Myles obtained his B.A. from Syracuse University with a degree in Russian & Eastern European Slavic Studies and a minor in Geography, and his J.D. from the Columbus School of Law, Catholic University of America in Washington, D.C. where he is recognized as a Distinguished Alumnus.
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Colin Bell
Group Chief Compliance Officer @ HSBC
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Colin Bell is Group Chief Compliance Officer, HSBC. He joined HSBC in July 2016 and was appointed a Group Managing Director in March 2017. Mr Bell previously worked at UBS, where he was Head of Compliance and Operational Risk Control. He has 10 years of experience in managing risk and financial crime, following 16 years in the British Army. During his time in the Army, Mr Bell held a variety of command and staff appointments, including operational tours of Iraq and Northern Ireland, time in the Ministry of Defence, a NATO appointment and completion of the Advanced Command and Staff Course. He joined UBS Investment Bank in January 2007, becoming the Global Head of Operational Risk Control in 2011. In January 2014, he was appointed the Global Head of Compliance (Regulatory and Financial Crime Compliance) and Operational Risk Control for UBS.
Learn more about Colin Bell on Crunchbase…HSBC is a banking and financial services organization that offers a comprehensive range of services. Read more aboutHSBC on Crunchbase…
Araba Eshun
Chief Compliance Officer @ Coinfloor
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Araba is responsible for Coinfloor’s compliance regime, overseeing day-to-day compliance operations and ensuring Coinfloor’s Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) functions are aligned with UK and international regulatory standards. Araba joined Coinfloor in May 2017 following extensive experience in the Asset Management, Banking, Forex and CFD industries. She is a member of the International Compliance Association (ICA).
Learn more about Araba Eshun on Crunchbase…Coinfloor is an established group of cryptocurrency exchanges for institutional or sophisticated investors and traders. Read more aboutCoinfloor on Crunchbase…
Derek Peach
Chief Compliance Officer @ S&P Global Platts
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Derek Peach is Chief Compliance Officer for S&P Global Market Intelligence, S&P Dow Jones Indices and S&P Global Platts, three divisions of S&P Global. In this role, Derek establishes the strategies, standards, policies and framework used to manage Compliance risk across the three divisions. Based in London, Derek heads a global team of ten compliance specialists that develop the compliance framework, advises the business, conduct compliance risk assessments, review compliance with S&P Global procedures, and ensure that the organization’s product and strategic development initiatives are positioned to meet future regulatory demands. Derek joined S&P Global in March 2015 as Chief Risk Officer for Platts, and subsequently took on the compliance role for that divison as well. Previously, Derek was Head of Risk and Compliance for ED&F Man Group, a brokerage and physical commodities firm with staff in more than 50 countries and a 230-year history in the agriculture markets. He has also held senior roles at global commodity trading and asset management firms, such as RWE, Teekay Corporation, BG Group, EON, and Koch Industries. Derek has a bachelor’s degree in accounting and economics from the University of Kent and is a member of the Institute of Chartered Accountants in England and Wales.
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Laura White
Chief Compliance Officer @ PRA Group
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Laura has primary responsibility for the day-to-day implementation and oversight of the company’s compliance programs. She has direct and regular access to PRA’s board of directors and works closely with the board’s compliance committee. Laura has more than 20 years of leadership experience in the financial services industry. She was previously chief risk and compliance officer for Allianz Global Assistance, Americas, where she was responsible for risk management and compliance, including operational risk, internal controls, business continuity and regulatory compliance. Before joining Allianz she was senior manager of corporate planning for the Federal Reserve Bank of Richmond and was a commissioned bank examiner for the Federal Reserve System. Prior to holding these positions, she was a senior financial analyst for Capital One Financial Corporation. Laura earned a Bachelor of Science degree in accounting from Virginia Commonwealth University. She is active in her community, volunteering for several charities including Special Olympics and CARITAS, a provider of homeless services to people in crisis.
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Mark Howard
Managing Director & Chief Compliance Officer International Markets @ Kohlberg Kravis Roberts
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Read more aboutKohlberg Kravis Roberts on Crunchbase…
Hilary Wandall
Chief Compliance Officer and Associate General Counsel @ Dun & Bradstreet
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Read more aboutDun & Bradstreet on Crunchbase…
Mike Corbett
Chief Compliance Officer and Founder @ Maxatta Limited
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Maxatta is a leader in Robotic Process Automation and the delivery of AI through automation for Front Office Financial Markets. Read more aboutMaxatta Limited on Crunchbase…
Hugh Orange
Partner, Chief Compliance Officer & Chief Financial Officer @ Lansdowne Partners
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Hugh joined the Finance and Compliance Team at Lansdowne Partners in October 2007. Hugh was appointed Chief Compliance Officer in December 2013 and Chief Financial Officer in April 2016 and is a member of the Management Committee. Prior to joining Lansdowne Partners, Hugh was, from 2006 to 2007, an Audit Manager at Ernst & Young London covering statutory, internal control and regulatory assurance engagements for some of Europe’s largest hedge fund and asset management firms. Hugh began his career in 2003 at Morley and Scott, now Menzies LLP (a top-20 UK accountancy firm), where he trained and qualified as a chartered accountant. Hugh is a Fellow of the Institute of Chartered Accountants in England and Wales and holds a BA (Hons) in Economic and Social History from the University of Bristol.
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Andrew Devine
Chief Compliance Officer @ BC Partners
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Andrew Devine is the Head of Compliance and is based in the London office. He joined the firm in May 2010. Prior to joining Apax, Andrew worked at PwC Legal in their funds practice. Before that, Andrew worked at Standard and Poor’s as Regulatory Counsel and the FSA’s Enforcement Division as a solicitor. Andrew holds an LLB (Hons) from Lancaster University and is a qualified lawyer. Andrew is also a member of the Regulatory Committee of the BVCA.
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Tom Singell
Chief Compliance Officer @ ZipZap
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Tanya Ziv
Chief Compliance Officer @ Currencycloud
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Tanya is the newest member of the Currencycloud executive team. But she’s certainly no novice when it comes to compliance. Having started her career as an M&A lawyer, over the past 12 years Tanya has been responsible for leading the compliance drive for a number of leading finance, technology and telecommunications firms, acting as Head of Compliance for Lebara, eToro and Cornercard. Tanya is in charge of Currencycloud’s compliance program and further developing the company’s strong culture of integrity as it expands into new international markets. She’s also helping to deliver continuous payment innovations to Currencycloud’s clients by injecting creativity back into the compliance process.
Learn more about Tanya Ziv on Crunchbase…Currencycloud specializes in a fully cloud-based platform for B2B cross-border payments. Read more aboutCurrencycloud on Crunchbase…
Michael C. Bauder
Vice President & Chief Compliance Officer @ Harbert Growth Partners
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Bauder joined Harbert Management Corporation’s legal department in July 2006 as Vice President – Chief Compliance Officer and is responsible for ensuring that the firm’s policies and procedures are reasonably designed to prevent, detect and correct violations of applicable securities laws. Prior to joining HMC Mike served in a dual capacity as Chief Compliance Officer for Hancock Investment Services, and Horizon Advisers. With 20 years of industry experience Mike holds the NSCP Certified Securities Compliance Professional designation and series 7,4,24,63,65,53,27 licenses. Mike earned his BS in Economics from Florida Southern College in 1991.
Learn more about Michael C. Bauder on Crunchbase… Read more aboutHarbert Growth Partners on Crunchbase…
Chris Airey
Chief Compliance Officer & Co-Founder @ Airangel WiFi
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Enterprise guest WiFi solutions for hospitality, apartment buildings, and large public spaces Read more aboutAirangel WiFi on Crunchbase…
Siân Jones
Chief Compliance Officer @ Blockchain Tech LTD
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Read more aboutBlockchain Tech LTD on Crunchbase…
Lisa Rosen
Chief Compliance Officer @ European Bank for Reconstruction and Development
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As Chief Compliance Officer, Lisa Rosen is responsible for ensuring that the highest standards of integrity are applied throughout all activities of the EBRD. The Office of the Chief Compliance Officer, which is also the anti-money laundering office of the Bank, provides a range of advice and assistance to all Bank departments in assessing and evaluating integrity and reputational risks relating to proposed, as well as on-going, Bank transactions. Ms Rosen’s office conducts Bank-wide integrity and anti-money laundering training courses, advises on actual or potential conflicts of interest in respect to the Bank’s handling of operations and investments, and investigates instances of staff misconduct as well as allegations of fraud and corruption in Bank financed projects. The Bank’s Project Complaint Mechanism which provides redress for complaints by local groups adversely affected by EBRD financed projects, is also managed by the Office of the Chief Compliance Officer. Ms Rosen represents the EBRD in the Financial Action Task Force, the OECD Anti-Corruption Network for Transition Economies, MoneyVal, Transparency International’s Steering Committee on the Business Principles for Countering Corruption, and numerous other international fora. Prior to joining the EBRD, Ms Rosen was Group Head of Compliance, Public Affairs and Regulatory Change Management at the global clearing house LCH.Clearnet. She has 20 years of legal and compliance experience in the USA and the UK. Previous positions include Global Head of Regulatory Affairs at Barclays Capital and Head of Litigation and Contentious Regulatory Affairs for Europe, the Middle East and Africa with Merrill Lynch. A United States national, Ms Rosen is a graduate of Vanderbilt University and the London School of Economics. She received her Juris Doctor from Fordham University School of Law.
Learn more about Lisa Rosen on Crunchbase… Read more aboutEuropean Bank for Reconstruction and Development on Crunchbase…
Maku Pankhania
Chief Compliance Officer @ Favorey
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Read more aboutFavorey on Crunchbase…
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David Friedland
