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Compliance Register awards – the list for 2013
Chris Hamblin
Clearview Publishing
12 December 2013
Every year the genial,
diminutive Ben Goh of the Compliance Register doles out the most
famous set of compliance awards in the UK and he always puts on a
good show. This year was no exception, with Ben in cracking form as
lead singer and compère at the Lancaster Hotel in London. His
rendition of a karaoke classic popular in the offshore centres of
East Asia wowed the compliance glitterati before the serious business
of the awards began. These were allocated as follows.
Section A for
'excellence'
- Excellence in
recruitment services - Compliance Professionals.
- Excellence in financial
crime and enforcement work - KPMG. ("Can this be right?"
mused the master of ceremonies out loud as the popular song
Supercalifragilisticexpialidocious filled the hall.)
- Excellence in
regulatory consultancy - PwC stepped up to receive their samurai
statuette to the tune of Zippedy Doo-Dah.
- Excellence in
regulatory training – for some reason there was universal laughter
at the moment when the Deloitte man stepped up to claim his award,
although he had done nothing funny to prompt it.
- Excellence in
regulatory advice and support – the Bovill Group. A lady
representative claimed the prize to the strains of Whistle While You
Work.
- Excellence in legal and
regulatory services – Dentons.
- Excellence in customer
service – Linedata.
- Excllence in financial
crime prevention – Brian Dilley of KPMG took more than a minute to
come to the podium but Ben Goh filled in the time with his dancing.
Section B for regulated
firms
- Best implementation of
European Resuscitation Council or ERC requirements – Best Practice
IFA Group.
- Best consulting firm
for investigations and enforcement – a lady in black pyjamas from
TCC stepped up to the strains of 'Suspicious Minds'.
- Best consultancy/law
firm to do with conduct risk – PwC. Runner up – Deloitte.
- Best consultancy/law
firm for regulatory advice – Eversheds. Runner up – TCC.
- Best consultancy/law
firm for financial crime – Dentons. Runner up – Bovill.
Section C for service
providers
- Most innovative
solutions provider – UnaVista. Runner up – Vibrations.
- Best technical
solutions provider for asset management – Linedata. Runner up –
Finessa.
- Best technological
solutions provider for regulatory reporting – UnaVista. Runner up –
Linedata.
- Best technological
solutions provider for financial crime – AML Analytics. Steve
Hancock, the founder of the Institute of Money-Laundering Prevention
Officers or IMLPO, stepped up to receive his prize to the sound of
'Stayin' Alive' by the Bee Gees. Runner up – Oracle.
- Best technological
solutions provider for EMIR – UnaVista. Ben Goh danced to the Bee
Gees' song 'Night Fever' while someone from the winning firm came up.
- Best head-hunting firm
for boardroom appointments – Correlate Search. Runner up – Demos
Associates.
- Best recruitment firm –
Black Swan Group. Runner up – Correlate Search.
- Best outsourcing
services firm – Grant Thornton. The winners claimed their prize to
the strains of 'Shaking All Over' by Johnny Kidd and the Pirates.
- Best face-to-face
training firm – Eukleia Training (founded by Patrick Thompson,
formerly of Hyperion Training and, briefly, Complinet). Runner up –
TCC.
- Best training firm for
clearing – Skillcast. Runner up – Complyport.
Section D – teams
- Best compliance team
among regulated firms – Standard Bank Offshore. Runner up – Best
Practice IFA Group. The winners stepped up to tune from Thunderbirds.
- Best client services
firm, no matter what the sector – Finessa. Runner-up – Grant
Thornton.
- Best recruitment
services team - Correlate Search. Runner up – Black Swan Group.
- Best editorial team –
Wolters Kluwer.
Section E - individuals
- Best head of compliance
– James Lasenby of Best Practice IFA Group. Runner-up – Duncan
Taylor of Quilter.
- Best head of financial
crime – Jay Pavitt of China Construction Bank. Runner up – Ben
Hur of Credit Agricole, who is also the head and founder of
MLROs.com.
- Best compliance officer
for conduct risk – Yen Chang of Quilter Cheviot.
- Best financial crime
consultant – David Blackmore, who will be writing for Compliance
Matters soon.
- Best compliance trainer
– Louise Clark of Deloitte. Runner up – Emma Radmore of Dentons.
- Best compliance
training programme designer – Emma Radmore of Dentons.
- Best compliance
consultant, conduct risk – Steve Blackbourn.
- Best consultant for
regulatory strategy – Jason Wintle of TCC. Runner up - Louise Clark
of Deloitte.
- Best regulatory lawyer
– Emma Radmore of Dentons. Runner up – James Smethurst of
Freshfields.
- Best recruiter –
Victoria Scott-Villars of Danos Associates.
- Best contribution to
compliance and/or financial crime practice – Peter Beales, AFME.
- Best chief
executive/managing director – Joanne Smith of TCC. Runner up –
Ben Blackett-Ord of the Bovill Group.
- Hall of Fame Lifetime
Achievement – Sir Paul Ruddock. The career of this doyen of the
hedge fund industry proves that it is possible to have a rock-steady,
fully compliant business and still do better than all your
competitors. He was the co-founder and CEO of Lansdowne Partners,
which has $17 billion assets under management. Now retired, he is the
chairman of the Victoria & Albert Museum.
The awards were
presented at lightning speed, with each drum-roll following hard on
the heels of its predecessor. Once every winner had walked up the red
carpet to receive his or her well-earned samurai figurine, the
compliance officers proceeded to dance the night away. To contact the
Compliance Register, an international compliance officers' and senior
financial executives' organisation, go to http://www.compliancer.com.