RIA Compliance and Practice Management Blog

Don’t forget to nominate a peer for excellence in regulatory compliance

Posted by RIA in a Box

Sep 6, 2022 4:34:38 PM

RIA Compliance Conference (4)-1

The inaugural ComplyConnect Awards is just around a corner. Part of the ComplyConnect Conference & Expo, the awards will recognize individuals in the regulatory compliance field who have made a significant impact on the industry and their peers. Winners will be announced during a special award reception at the conference on Nov. 9, 2022. Read more to learn about the award categories and how you can submit a nomination.

Learn More About ComplyConnect

RIA in a Box, a founding sponsor of ComplyConnect Conference & Expo, is proud to be part of the first-ever ComplyConnect awards.

Financial professionals are encouraged to nominate peers who they consider leaders and innovators in the complex world of regulatory compliance. Nominations can be submitted on the ComplyConnect Awards page through Sept. 16. All nominations will be reviewed by a panel of industry experts, including Modern Compliance Co-editor David Lui, Elizabeth M. Knoblock, PLLC Managing Member Elizabeth Knoblock, Eversheds Sutherland Partner John H. Walsh, ComplySci Chief Executive Officer Amy Kadomatsu, NRS President John Gebauer and others. Submit Your Nominations Here

The 2022 ComplyConnect compliance award categories include:

  1. Compliance Officer 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.

  1. Compliance Innovator of the Year

Awarded to a professional who has proven their ability to rethink the compliance landscape, providing new solutions to meet evolving risks and regulations.

  1. Compliance Provider of the Year

Dedicated to an organization, which has provided its clients with the tools and technology to overcome core compliance challenges.

  1. Compliance Educator of the Year

This award recognizes an individual or organization, which has made outstanding contributions to the continued education of compliance professionals.

  1. Future Compliance Star of the Year

In recognition of a professional whose star is on the rise, with significant accomplishments within the compliance industry.

Only one compliance professional per each of the five award categories will be chosen during the ComplyConnect award ceremony. Award finalists will be announced in early October, with winners revealed on Nov. 9 during an awards reception at the inaugural ComplyConnect Conference & Expo in Austin, Texas.

Everyone who nominates a peer will be entered for a chance to win a free pass to the main ComplyConnect conference. Nominations close Sept. 16.

Attend the ComplyConnect Conference & Expo

Topics: RIA Operations, RIA Compliance, RIA Technology

RIA in a Box LLC is not a law firm, investment advisory firm, or CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities or legal counsel if applicable.

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