The 20 Rising Stars of Compliance 2007 - (Page 25) 19 STEVEN A. YADEGARI 1 2 General Counsel and Chief Legal Officer Cramer Rosenthal McGlynn, New York Age: 34 Education: Brandeis University (B.A.); Benjamin N. Cardozo School of Law (J.D.) Mentor: Saul Cohen, retired partner, Proskauer Rose Yadegari is responsible for legal and compliance matters for this investment adviser with over $11 billion in assets, including registered investment companies, separately managed accounts, hedge funds and private equity vehicles. Yadegari also serves as chief legal officer and chief compliance officer for the CRM Mutual Fund Trust. He joined CRM in 2005. Previously he was a senior associate at Kirkpatrick & Lockhart Nicholson Graham since 2004 and an associate at Proskauer Rose from 2002 to 2004, working in securities law. From 2000-2002, he was a senior counsel in the Securities and Exchange Commission’s Division of Enforcement. He was also an attorney-adviser in the SEC’s Division of Market Regulation from 1998-2000. Yadegari is president-elect of the Association for Conflict Resolution of Greater New York, where he is also a board member, and an adjunct professor at New York University’s School of Continuing Education and Professional Studies. He is a frequent speaker at compliance conferences and has published various articles, including one for the New York Law Journal. “As financial companies become increasingly sophisticated and offer a greater variety of products, the industry will face challenges in striking a balance between legal and compliance considerations on the one hand and business considerations on the other hand. A thoughtful partnership between the two areas will allow the industry to capitalize on the opportunities that lay ahead for it.” 20 SUZANNE ZACHARIAS 1 Vice President, Fixed Income Compliance Citigroup Global Markets, New York Age: 29 Education: New York University (B.A., psychology and political science); New York Law School (J.D.) Mentors: Philip Becker, senior vice president, fixed income compliance; Jeffrey Ingber, managing director, head of Global Transaction Services compliance, banking compliance, employee services compliance; Omer Oztan, senior vice president, regulatory legal—all at Citigroup Global Markets Zacharias assists in the compliance coverage of fixed income currencies and commodities, including debt capital markets, short term sales and trading, global credit trading and retail credit marketing and trading implementing policies, procedures and controls, and systems processes. She has held this post since March 2006. Previously, she was a vice president in the Compliance and Regulatory Group of Citi Markets and Banking where she drafted and implemented firm-wide policies and procedures, including assisting in the implementation of procedures related to SEC Rule 15a-6, which governs foreign affiliate business. She has also implemented pre-hiring review processes. Zacharias was an assistant vice president for compliance with Smith Barney from 2004-2006. She worked as a compliance analyst at SunTrust Securities from 2003-2004. “With the increasing pace of technological innovation, the industry has the opportunity to continue to automate solutions to comply with ever-increasing regulatory demands. However, technology also presents several challenges, including timely implementation, ensuring adequate communication and coordination with technology personnel, and continued monitoring of existing systems.” SEPTEMBER 2007 0 92 0 92 COMPLIANCE RISING STARS 25
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