The 20 Rising Stars of Compliance 2007 - (Page 16) 7 ALAN J. HERZOG 1 2 Associate Vice President and Compliance Counsel & Manager-Corporate Internal Controls A.G. Edwards & Sons, St. Louis, Mo. Age: 34 Education: University of Missouri at Columbia (B.S.B.A. in finance); University of Missouri Columbia School of Law (J.D.) Mentors: Steve Bee, director of home office compliance, Edward Jones; Doug Kelly, executive vice president and director of law and compliance, A.G. Edwards & Sons; Andy Small, general counsel, Scottrade; Brian Underwood, senior vice president and director of compliance, A.G. Edwards & Sons Herzog manages 12 compliance officers responsible for the independent assessment of policies, procedures and controls at the firm. He oversees brokerage and investment advisory operations as well. He joined in 2001 as an associate compliance counsel. Herzog became a compliance counsel in 2003 and was appointed to his current position in 2005. Previously, he was a judicial clerk at the Supreme Court of Missouri from 1999 to 2001. Herzog serves on the board of directors of the National Society of Compliance Professionals and is a member of two SIFMA committees: the Investment Adviser Committee and the Compliance & Legal Division’s Compliance Subcommittee. “The securities industry and its regulators have long emphasized the importance of adopting and implementing a robust compliance program that is reasonably designed to address the multitude of risks associated with our business. It is incumbent on a compliance officer to continuously re-examine the risks across our industry and those specific to his firm in order to help prevent violations of laws, rules and regulations and to protect the reputation of his firm and the integrity of our industry.” 8 JEREMY L. HILL 1 Director of the Control Room and Director of the Surveillance Group Société Générale, New York Age: 34 Education: Hunter College (B.A. in political science); Frankfurter Fachhochschule in Germany (Master’s level coursework in international business finance); Fordham University School of Law (J.D.) Mentors: Erik Ashenbrenner, managing director, The Response Cos.; Seth Page, senior managing director for the Americas, Corporate Finance Partners Hill’s responsibilities include oversight of the compliance department at SG Americas, the U.S. affiliate of Société Générale. He is in charge of all control and surveillance functions that include implementing trading restrictions and approving research. Hill is also responsible for SG America’s firm-wide compliance training. Hill joined the firm in 2006. From 2005-2006 he worked at Bank of America, as a v.p. and compliance officer in its control group. There he designed and implemented a banking-adviser referral program between the firm’s investment and private banking departments. He was also a compliance officer in Credit Suisse’s control group from 2004 to 2005. “I approach compliance with an eye towards the ‘why’ and not just the ‘doing’ part of the task at hand. It is by understanding the reasons that we are made to comply with rules and regulations that we can more effectively adhere to the intent and purpose of the law. I relish the opportunity to work with front office and technical support staff in teaching them why individual laws and a culture of compliance is important to overall firm management and ultimate success.” 16 COMPLIANCE RISING STARS 0 92 0 92 SEPTEMBER 2007
For optimal viewing of this digital publication, please enable JavaScript and then refresh the page. If you would like to try to load the digital publication without using Flash Player detection, please click here.