The 20 Rising Stars of Compliance 2007 - (Page 15) 5 ALEXANDRA GARDINER 1 2 Chief Financial Officer and Chief Compliance Officer EMAlternatives, Washington, D.C. Age: 38 Education: Towson State University (B.S. in accounting); New York University Leonard N. Stern School of Business (M.B.A. in finance and international business) Mentors: Afsaneh Beschloss, president and CEO, The Rock Creek Group; Dr. Sudhir Krishnamurthi, managing director, The Rock Creek Group; Kenneth Lohsen, managing director, Credit Suisse; Sherri Rossoff, chief compliance officer and general counsel, The Rock Creek Group Gardiner oversees financial and compliance for this start-up investment adviser, which specializes in global emerging private equity markets and provides customized advisory services to select institutional investors. She joined EMAlternatives, which has offices in Amsterdam, Netherlands, in June 2007. Previously, she was vice president of finance for The Rock Creek Group, which handles $3.5 billion of hedge fund-of-fund portfolios. Gardiner managed accounting, reporting and finance functions and internally managed routine audits by the and by external auditors. From 1995 to 2003, Gardiner worked at Credit Suisse First Boston, first as assistant vice president of financial audit, then as vice president and assistant controller of private equity. Gardiner is a certified public accountant and was a senior accountant in investment management at PricewaterhouseCoopers before joining Credit Suisse. “Clients hold all of their fund managers to the same high standards and expectations. But for small and newly-established groups, implementing best practices can create particular challenges. These firms often lack, at the outset, the full range of resources available at large managers. I have been able to call upon certain resources including legal counsel, auditors, and former colleagues and contacts. All have been helpful.” 6 KELLIE HARGRAVES 1 Chief Compliance Officer, Europe-Middle East-Africa Region Franklin Templeton Investments, London Age: 32 Education: Charles Sturt University in Australia (Bachelor of Business in accounting and finance); Australian Graduate School of Management (M.B.A., executive) Mentors: None provided Hargraves is responsible for 13 compliance professionals who ensure 21 of the investment management firm’s subsidiaries, their branches and their representative offices have suitable compliance arrangements across 50 countries in the EMEA region. She is a member of the firm’s risk, global anti-money laundering, European management, and international product development committees. She joined as CCO for EMEA in January 2007. Previously, Hargraves was head of compliance and head of compliance and operational risk at BNP Paribas Securities Services in London, which she joined in 2003. She was also a compliance consultant for corporate strategy at AMP/HGI Group in London. From 1999 to 2002, she was with Commonwealth Bank of Australia, first as senior manager of group compliance then as the group’s acting head. She was also an audit manager for financial audit at The Audit Office of New South Wales and is a certified practicing accountant in Australia. “To be effective you need to know the nuts and bolts of your firm and the industry to ensure the firm’s approach is cost effective and parallel to its corporate goals. Removing complexity and focusing on outcomes is key.” SEPTEMBER 2007 0 92 0 92 COMPLIANCE RISING STARS 15
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