• wblogo
  • wblogo
  • wblogo

Compliance Register awards – the list for 2013

Chris Hamblin, Clearview Publishing, 12 December 2013


Every year the genial, diminutive Ben Goh of the Compliance Register doles out the most famous set of compliance awards in the UK and he always puts on a good show.

Every year the genial, diminutive Ben Goh of the Compliance Register doles out the most famous set of compliance awards in the UK and he always puts on a good show. This year was no exception, with Ben in cracking form as lead singer and compère at the Lancaster Hotel in London. His rendition of a karaoke classic popular in the offshore centres of East Asia wowed the compliance glitterati before the serious business of the awards began. These were allocated as follows.

Section A for 'excellence'

  • Excellence in recruitment services - Compliance Professionals.
  • Excellence in financial crime and enforcement work - KPMG. ("Can this be right?" mused the master of ceremonies out loud as the popular song Supercalifragilisticexpialidocious filled the hall.)
  • Excellence in regulatory consultancy - PwC stepped up to receive their samurai statuette to the tune of Zippedy Doo-Dah.
  • Excellence in regulatory training – for some reason there was universal laughter at the moment when the Deloitte man stepped up to claim his award, although he had done nothing funny to prompt it.
  • Excellence in regulatory advice and support – the Bovill Group. A lady representative claimed the prize to the strains of Whistle While You Work.
  • Excellence in legal and regulatory services – Dentons.
  • Excellence in customer service – Linedata.
  • Excllence in financial crime prevention – Brian Dilley of KPMG took more than a minute to come to the podium but Ben Goh filled in the time with his dancing.

Section B for regulated firms 

  • Best implementation of European Resuscitation Council or ERC requirements – Best Practice IFA Group.
  • Best consulting firm for investigations and enforcement – a lady in black pyjamas from TCC stepped up to the strains of 'Suspicious Minds'.
  • Best consultancy/law firm to do with conduct risk – PwC. Runner up – Deloitte.
  • Best consultancy/law firm for regulatory advice – Eversheds. Runner up – TCC.
  • Best consultancy/law firm for financial crime – Dentons. Runner up – Bovill.

Section C for service providers

  • Most innovative solutions provider – UnaVista. Runner up – Vibrations.
  • Best technical solutions provider for asset management – Linedata. Runner up – Finessa.
  • Best technological solutions provider for regulatory reporting – UnaVista. Runner up – Linedata.
  • Best technological solutions provider for financial crime – AML Analytics. Steve Hancock, the founder of the Institute of Money-Laundering Prevention Officers or IMLPO, stepped up to receive his prize to the sound of 'Stayin' Alive' by the Bee Gees. Runner up – Oracle.
  • Best technological solutions provider for EMIR – UnaVista. Ben Goh danced to the Bee Gees' song 'Night Fever' while someone from the winning firm came up.
  • Best head-hunting firm for boardroom appointments – Correlate Search. Runner up – Demos Associates.
  • Best recruitment firm – Black Swan Group. Runner up – Correlate Search.
  • Best outsourcing services firm – Grant Thornton. The winners claimed their prize to the strains of 'Shaking All Over' by Johnny Kidd and the Pirates.
  • Best face-to-face training firm – Eukleia Training (founded by Patrick Thompson, formerly of Hyperion Training and, briefly, Complinet). Runner up – TCC.
  • Best training firm for clearing – Skillcast. Runner up – Complyport.

Section D – teams

  • Best compliance team among regulated firms – Standard Bank Offshore. Runner up – Best Practice IFA Group. The winners stepped up to tune from Thunderbirds.
  • Best client services firm, no matter what the sector – Finessa. Runner-up – Grant Thornton.
  • Best recruitment services team - Correlate Search. Runner up – Black Swan Group.
  • Best editorial team – Wolters Kluwer.

Section E - individuals

  • Best head of compliance – James Lasenby of Best Practice IFA Group. Runner-up – Duncan Taylor of Quilter.
  • Best head of financial crime – Jay Pavitt of China Construction Bank. Runner up – Ben Hur of Credit Agricole, who is also the head and founder of MLROs.com.
  • Best compliance officer for conduct risk – Yen Chang of Quilter Cheviot.
  • Best financial crime consultant – David Blackmore, who will be writing for Compliance Matters soon.
  • Best compliance trainer – Louise Clark of Deloitte. Runner up – Emma Radmore of Dentons.
  • Best compliance training programme designer – Emma Radmore of Dentons.
  • Best compliance consultant, conduct risk – Steve Blackbourn.
  • Best consultant for regulatory strategy – Jason Wintle of TCC. Runner up - Louise Clark of Deloitte.
  • Best regulatory lawyer – Emma Radmore of Dentons. Runner up – James Smethurst of Freshfields.
  • Best recruiter – Victoria Scott-Villars of Danos Associates.
  • Best contribution to compliance and/or financial crime practice – Peter Beales, AFME.
  • Best chief executive/managing director – Joanne Smith of TCC. Runner up – Ben Blackett-Ord of the Bovill Group.
  • Hall of Fame Lifetime Achievement – Sir Paul Ruddock. The career of this doyen of the hedge fund industry proves that it is possible to have a rock-steady, fully compliant business and still do better than all your competitors. He was the co-founder and CEO of Lansdowne Partners, which has $17 billion assets under management. Now retired, he is the chairman of the Victoria & Albert Museum.

The awards were presented at lightning speed, with each drum-roll following hard on the heels of its predecessor. Once every winner had walked up the red carpet to receive his or her well-earned samurai figurine, the compliance officers proceeded to dance the night away. To contact the Compliance Register, an international compliance officers' and senior financial executives' organisation, go to http://www.compliancer.com.

Latest Comment and Analysis

Latest News

Award Winners

Most Read

More Stories

Latest Poll