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NYC Bar Event - Careers in Compliance

Start/End Wednesday, April 03, 2013 08:30 AM EDT -- 09:45 AM EDT
Location Name 42 West 44th St.
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Careers in Compliance

Due to several factors, such as governmental regulation and special interest groups, there has been a steadily increasing demand for transparency in the financial industry. Compliance attorneys within the field are expected to assist in maintaining a level of honesty and fairness in the business practices of their organizations. Responsibilities include interpreting regulations and rules, implementing relevant or necessary policies and procedures, and keeping abreast of policy adjustments and acting accordingly. This panel will discuss these topics as well as share more general information, like how to enter the field, their daily challenges, and ways to learn more about the profession.


SUMMER LEE Goldman Sachs

NICHOLAS TURNER Compliance Management Associate, Citi

MARA SIERCHIO Vice President, Legal and Compliance, Evercore Partners

JACQUELINE LiCALZI Managing Director, Head of Company Compliance at Morgan Stanley


LINDA YARDEN Director of Corporate Placement and Strategy, A.W. Rush & Co.


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