The 20 Rising Stars of Compliance 2007 - (Page 13) 1 CHRISTOPHER ADAMO 1 2 Director of Broker-Dealer Compliance Lord Abbett & Co., New York Age: 35 Education: Villanova University (B.A. in political science); Brooklyn Law School (J.D.) Mentor: Glenn Albaum, staff supervisor, NASD (now the Financial Industry Regulatory Authority) Adamo is responsible for all compliance matters at this investment management firm, which has about $120 billion in assets under management. His duties include monitoring the trading of the nearly 350 registered reps, as well as the firm’s mutual fund distribution and revenue-sharing arrangements. Prior to joining Lord Abbett, Adamo was special investigator at the NASD for six years through September 2006. He led examinations of member firms for compliance with sales practice, operational and capital regulations. He led the NASD’s variable annuity inspection sweep, and a was a participant in the Securities and Exchange Commission’s joint anti-money laundering and municipal bond pricing sweeps. Prior to joining NASD, he was an attorney at law firm Seeger Weiss from 1999-2000. Adamo is a member of New York County Lawyers’ Association Securities and Exchanges Committee. He also serves on the Advisory Board for Institutional Investor Events’ upcoming 2nd Annual Anti-Money Laundering & Counter-Terrorist Financing Forum. Adamo is a member of networking group AML Strategic Leadership. “As a result of new rulemaking and various industry headlines in recent years, compliance has gained a lot of exposure. Compliance is now faced with an opportunity to use its new-found prominence to continue to build a lasting culture of compliance.” 2 PAULA BOSCO 1 Chief Investment Advisory Compliance Officer Lehman Brothers, New York Age: 34 Education: State University of New York (B.A. in political science) Pace University (M.B.A. in finance); City University of New York School of Law (J.D.) Mentors: Mara Galeano, senior associate general counsel and executive director, UBS; Steven Lofchie, partner, Cadwalader, Wickersham & Taft; Sheilah Reycraft, director, Citi-Smith Barney; David Rosenstein, senior vice president and executive director of enforcement, NASD Bosco oversees advisory activities within the private investment management compliance department, which consists of 10 compliance officers. She is in charge of meeting SEC compliance program requirements, including conducting annual compliance reviews. She joined the firm in July 2007. Previously, Bosco was an assistant director in Investment Advisory Services & International Compliance Department at Citi-Smith Barney, where she oversaw the managed account businesses. Bosco was a litigator at Schulte, Roth & Zabel, which she left in 2005 to join Citi-Smith Barney. She was assistant chief counsel in the American Stock Exchange’s Enforcement Division from 2003-2005. In 2000, Bosco worked with UBS PaineWebber, as a divisional vice president in the legal department. Bosco cochairs the New York County Lawyers’ Association’s Securities & Exchanges Committee and is a member of the Securities Industry and Financial Markets Association’s Investment Advisers Committee. In 1999 she was published in the New York State Bar Association’s Securities Litigator journal. “In compliance we struggle with the sometimes competing visions of those we serve, such as our business clients, compliance and legal department colleagues, and external regulators. Creating sustainable partnerships with these groups allows me to understand, interpret and communicate their visions. It also allows me to act as a catalyst for change.” SEPTEMBER 2007 0 92 0 92 COMPLIANCE RISING STARS 13
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