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.
Compliance Management Associate, Citi
Vice President, Legal and Compliance, Evercore Partners
Managing Director, Head of Company Compliance at Morgan Stanley
Director of Corporate Placement and Strategy, A.W. Rush & Co.