7th Annual Compliance Awards Nominees Short List Announced by Thomson Reuters GRC

London, Oct. 11, 2011 – Thomson Reuters Governance, Risk and Compliance today announced the short list of nominees for its 7th Annual Compliance Awards. A record number of entries were received this year – more than 150 across 10 award categories.

The Annual Compliance Awards were created in 2004 to recognise the successes and achievements of compliance professionals from across the financial services industry and supporting professional services firms who safeguard the integrity of their businesses, and position them for continued growth and success.

The 7th Annual Compliance Awards will be presented on 17 November 2011 in a ceremony at the Dorchester, Park Lane, London.

The shortlist of 2011 Annual Compliance Award nominees is as follows:

2011 Compliance Officer of the Year

• Sam Broadhead, Chief Compliance Officer, WyeTree Asset Management
• Jacqui Compass, Head of EMEA Research Compliance, Bank of America Merrill Lynch
• John Ryan, Compliance Officer, BNP Paribas
• Duncan Taylor, Head of Compliance, Quilter
• Mark Tubby, Head of Compliance, finnCap

2011 Chief Compliance Officer of the Year

• Simon Allian, Compliance Officer/MLRO, The Ogier Group
• Alison Hewitt, Group Director of Compliance, Lloyds Bank
• James Ritchie, Head of EMEA Securities Compliance, Credit Suisse
• Pratap Thakkar, Head of Compliance, GFI Brokers

2011 Young Compliance Officer of the Year

• Kerry Barber, Compliance Manager, Unum
• Madeleine Curran, Compliance Officer, BNY Mellon
• Jaspreet Dhariwal, Compliance Officer, Merchant Securities
• Elliot Dunseath, Compliance Officer, Colemont Insurance Brokers
• Mark Ward, Equities Compliance Officer, Renaissance Capital

2011 Money Laundering Reporting Officer of the Year

• Karen Clark, Deputy MLRO, IFDS
• Christine Moran, Group Head of Compliance, Collins Stewart
• Peter O'Sullivan, MLRO, LV=

2011 Compliance Personality of the Year

• Stephen Burke, Group Director, IMS Consulting
• Chris Jarvis, Deputy Head of Compliance, HB Markets
• Ross Moody, Director of Compliance, Bank of America Merrill Lynch
• Joanne Smith, CEO, The Consulting Consortium
• Geoff Walsh, MD, AFME

2011 Outstanding Long-term Service to the Compliance Industry

• Jim Clarke, Legal Adviser, FSA
• Peter Haines, Managing Director, Peter Haines
• Marcus Sephton, Partner, KPMG

2011 Most Effective Compliance Training in a Regulated Firm

• Ross Moody, Director of Compliance, Bank of America Merrill Lynch
• Shaun Pratley, Head of Compliance, Schneider Trading

2011 Compliance Innovator of the Year

• Ian Briggs, Function Leader, The Co-operative Banking Group
• Lasitha Dissanayake, EMEA Head of Compliance, Credit Suisse
• Andrew Knowles, Product Manager of Compliance Reporting Services, JP Morgan
• Akito Shimada, Head Office Compliance Officer, Sumitomo Mitsui Banking Corporation

2011 Best Regulatory Law Firm of the Year

• Laven Legal Services
• Morrison & Foerster
• Simmons & Simmons
• Stephenson Harwood

2011 Best Consulting Firm of the Year

• Complyport
• The Consulting Consortium
• Enterprise Learning
• IMS

Sponsors for the event include: BPP, the Institute of Money Laundering Prevention Officers (IMLPO), Barclay Simpson, Compliance Recruitment Solutions, Enterprise Learning and Robert Walters. Peter Haines, managing director of Peter Haines Compliance Consultancy, a former senior regulator and practitioner, will serve as master of ceremonies for the evening.

For more information, go to: http://www.complianceawards.co.uk