The 20 Rising Stars of Compliance 2007 - (Page 17) 9 CHRISTOPHER MARZULLO 1 2 Chief Compliance Officer Brandywine Global Investment Management, Philadelphia Age: 39 Education: Cornell University (B.S. in industrial and labor relations); University of Baltimore School of Law (J.D.) Mentor: Drew Bowden, general counsel, Legg Mason Capital Management Marzullo joined Brandywine Global as interim chief compliance officer in March 2007 and was appointed permanent CCO in June. He is responsible for overseeing and managing all investment compliance matters within the organization. Together with the firm’s compliance committee, he is responsible for implementing all necessary actions to ensure continued achievement of the objectives of the firm’s compliance program. Previously, he spent eight years as associate general counsel at Brandywine Global’s parent company, Legg Mason. There he advised Legg Mason’s investment advisory firms on fixed income, equity, and alternative investment management services to various clients, including U.S. and international investment companies, and other onshore and offshore pooled investment vehicles, as well as institutional and high-net-worth accounts. Prior to Legg Mason, which he joined in 1999, he was a litigation associate with the law firm Weinberg & Green. “The heightened regulatory focus of the past several years has provided legal and compliance professionals a tremendous opportunity to educate the business folk on how superior compliance resources can help drive a firm’s success, not just from a regulatory or risk management standpoint, but from a business standpoint.” 10 AMRIT MIDHA 1 Compliance Officer AIG Investments, London Age: 38 Education: University of Delhi, India (Bachelor’s in commerce); King’s College London, U.K. (L.L.B. in law); University of Pune, India (M.B.A.) Mentors: Richard Biegen, global head of compliance, AIG Investments; Caroline Stirling, director of compliance, U.K., AIG Investments Europe; Carinne Withey, head of compliance, Securities Division, London, Goldman Sachs International Midha is responsible for compliance for most of the European investment management businesses including derivatives, transactional advice on leveraged finance, trading floor compliance management and compliance of all European branches. He also manages the implementation of the European Markets in Financial Instruments Directive for the division’s U.K. entities. Midha is money laundering reporting officer for AIG Investments’ parent, AIG Global Investment Corp. (Europe). He joined AIG in 2005. Previously, he was with Morgan Stanley in 2005 in sales and trading’s legal and compliance group in London. He was at Goldman Sachs in 2004, also in London, in fixed-income, currency and commodities compliance. Prior to that he was an attorney at Torys, LLP from 2003-2004. Midha serves on the regulatory committee of the International Securities Lending Association. “MiFID implementation has brought about a challenge to every financial firm as it touches almost every aspect of investment management. I assembled a group of legal, compliance, trading and other portfolio management experts across Europe to assist in identifying our various investment activities that will be subject to the new MiFID rules. We are looking to start implementing new rules effective September 1, 2007.” SEPTEMBER 2007 0 92 0 92 COMPLIANCE RISING STARS 17
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