Award winners and finalists represent industry’s most innovative and dedicated professionals

New York, Nov. 10, 2022 – COMPLY and its portfolio of firms, ComplySci, RIA In a Box, National Regulatory Services (NRS) and illumis, announced today the first-ever ComplyConnect Award finalists and winners, which included:

Compliance Officer of the Year

  • Award winner – Una Neary, global chief compliance officer at BlackRock Inc.
  • Mario Chilin, chief compliance officer and partner at EP Wealth Advisors.
  • John Elzayek, chief compliance officer at Householder Group Estate and Retirement Specialists LLC.
  • Stefan Simpson, chief compliance officer and director of business operations at BentOak Capital.

Compliance Innovator of the Year

  • Award winner – Halie Smith, branch operations manager at V Wealth Advisor LLC.
  • Justin Kulla, partner and head of impact investing and ESG at TZP Group.
  • Anu Willoughby, global chief operating officer, legal and compliance at Jefferies.

Compliance Provider of the Year

  • Award winner – InvestorCom Inc.
  • PINE Advisor Solutions.
  • Riskalyze, Inc.

Compliance Educator of the Year

  • Award winner – Craig Watanabe, director of IA compliance at DFPG Investments LLC.
  • Steven Weiss, chief compliance officer and general counsel at Roosevelt Investments.
  • Stan Yakoff, head of Americas supervision at Citadel Securities.

Future Compliance Star of the Year

  • Award winner – Scott Brown, associate director at PINE Advisor Solutions.
  • Benjamin Doherty, vice president, counsel and compliance officer at Natixis Investment Advisors LLC.
  • Kristen Grubba, compliance specialist at Pure Financial Advisors LLC.
  • Rebecca Havens, senior compliance manager at Creative Planning LLC.

All nominations for the inaugural ComplyConnect awards were reviewed by a panel of industry experts, including Modern Compliance Co-editor David Lui, PLLC Managing Member Elizabeth Knoblock, Eversheds Sutherland Partner John H. Walsh, Bank OZK Director of Data privacy Karen Aavik, COMPLY Chief Executive Officer Amy Kadomatsu and COMPLY Chief Regulatory Officer John Gebauer.

The founding sponsors of ComplyConnect, COMPLY and its portfolio of firms, ComplySci, RIA in a Box, NRS and illumis, also honored PLLC Managing Member and Award Committee Member Elizabeth Knoblock with the ComplyConnect Lifetime Achievement Award.

“We are thrilled to be able to honor our compliance peers,” said Mr. Gebauer. “So often, compliance professionals shy away from the spotlight or don’t get the recognition they deserve for the outstanding job they do in such a challenging position. We wanted to take this opportunity to acknowledge the hard work and creativity we know is asked of compliance professionals and providers. Each of these winners elevates the profession and provides incredible value to their firms and teams.”

The awards were presented during the ComplyConnect Award’s cocktail reception on Wednesday, Nov. 9 at the Omni Barton Creek Resort & Spa in Austin, Texas.

At COMPLY, we pride ourselves on being the champion for compliance professionals. Merging technology, consulting and education, we help clients navigate the ever-changing regulatory environment. Our portfolio of firms includes ComplySci, RIA in a Box, National Regulatory Services (NRS) and illumis, whose more than 7,000 clients include some of the world’s largest financial institutions. Clients throughout our portfolio of firms enjoy access to our full suite of industry-leading governance, risk and compliance (GRC) consulting, technology, managed services, analytics and outsourcing solutions.

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