The 20 Rising Stars of Compliance 2007 - (Page 24) 17 CHRISTOPHER H. SHURDEN 1 2 Vice President and Senior Compliance Specialist Stephens Inc., Nashville, Tenn. Age: 33 Education: Mississippi State University (B.B.A. and M.B.A.) Mentors: Thomas Henricks, former director of compliance at J.C. Bradford; Phil Shellabarger, compliance officer, Stephens Inc. Shurden provides support to branch managers and branch personnel regarding compliance issues and monitors electronic communications for the dually-registered broker-dealer and investment advisory firm. He conducts annual exams for more than 20 branch offices and departments, including research, public finance, the investment advisory divisions, and insurance. Shurden developed the “Sales Manager’s Supervisory Procedures Manual,” which outlines the supervisory responsibilities of the firm’s branch managers. He joined the firm in 2000. Previously, Shurden was a junior compliance specialist and compliance specialist with J.C. Bradford & Co. He served on the firm’s Discretionary Account Committee. Shurden oversaw the activities of 200 registered representatives and sales assistants at the firm and its 10 branch offices and was a liaison with regulators during audits. He joined the firm in 1997. “One of the first things I learned upon entering the industry was that there is definitely a service element to compliance. The biggest challenge facing compliance is maintaining healthy working relationships with the firm’s business units. Adherence to the rules is not up for negotiation, but maintaining good relationships inside the firm goes a long way in making ever-changing policies and procedures work more effectively.” 18 RYAN J. TAYLOR 1 Vice President, Fixed Income Compliance Lehman Brothers, New York Age: 30 Education: Morehouse College (B.A. in finance and economics); New York University Leonard N. Stern School of Business (M.B.A. in finance and management) Mentors: Kiara Hammond, vice president, central compliance, Lehman Brothers Taylor advises the fixed income business line and support functions on all compliance-related issues. Prior to joining Lehman Brothers in 2002, Taylor was a financial and operational examiner for member firm regulation at the New York Stock Exchange from 1999 to 2002. Taylor has held his current position since April. His other positions at Lehman have included sales practice examiner and manager of the Electronic Communication Surveillance Group. As a sales practice examiner, he focused on reviews of the firm’s U.S. and international capital markets, investment banking, and private investment management offices. Taylor was also instrumental in developing the strategy that would place compliance professionals in Mumbai as part of a more robust surveillance mandate. “This is an innovative business with new products and trading strategies being developed and implemented daily. In this environment, it’s critical that we ensure that the regulatory infrastructures surrounding such innovations are effective in order to mitigate risks. We do our best to develop the necessary nexus with the business in order to advise them from a compliance perspective. We also provide detailed training and real-time analysis of transactions from a compliance viewpoint.” 24 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.