The Compliance Register

The 2008 Compliance Register Awards

The Categories: For Individuals

Section B 

B1. Most Helpful FSA Staff Award

This award is for the individual staff member of the FSA whom the nominator has found to be most efficient and helpful.

B2. New Compliance Officer/ MLRO of the Year

This award is for the individual newcomer (must be a Compliance Officer or MLRO for three years or less) who has excelled in their new role.

 B3. Best Compliance Author/Journalist

This award is for authors or journalists who have excelled in their standard and quality of writing on compliance and regulatory issues.

 B4. Most Innovative Fraud Prevention Officer

This award is for individuals who have been most successful and innovative in helping their firms (from any sector) and others combat the growing problem of financial fraud. 

 B5. Best Compliance Trainer Award

This award is for individuals who have developed efficient and effective ways of training for financial services and products including compliance. The quality of skills, knowledge and compliance standards achieved will be considered.

 B-7. Best Compliance Officer Award

This award is for the individual compliance officer or member of the compliance team who has excelled in serving the needs of the business. The quality of skills, knowledge and compliance standards achieved will be considered. This Award will have two sub-categories:-

  • Outstanding Leadership/Dedication
  • Most Added-Value to the Business

 
B8. Best Compliance Consultant Award

This award is for the individual external compliance consultant who has excelled in serving the needs of the business. The quality of skills, knowledge and compliance standards achieved will be considered.

B9-10. Best Legal Advisor Award

This award is for the individual external legal advisor who has excelled in serving the needs of the business. The quality of skills, knowledge and compliance standards achieved will be considered. This Award has two sub-categories:-

  • Litigation, Investigation and Enforcement
  • Regulatory and Commercial

 
 B11-12. Best MLRO Award

This award is for the individual Money Laundering Reporting Officer who has excelled in serving the needs of the business. The quality of skills, knowledge and compliance standards achieved will be considered. This Award has two sub-categories:-

  • Outstanding Leadership
  • Most Added-Value to the Business

 
B13. Best Chief Executive/MD Award

This award is for the individual Chief Executive or Managing Director of financial services firms including service providers who has excelled in leading the business in a manner that is compliant, profitable and enlightened. 


B14. Hall of Fame Lifetime Achievement Award

This award is for individuals in financial services who have contributed in a positive way to industry development through their diligence and personality. Their achievements can be in any area of financial services ranging from innovation, leadership, compliance practice, AML practice, etc.


Section C

C1. The Compliance Register Personality of the Year – in association with Financial Adviser

This award is for individuals who have “made a difference” to the financial services industry in terms of positive publicity, development of products and services, risk management, leadership, community service, etc. This award will be decided in two stages based on popular vote. Stage 1 will be decided by the number of nominations a nominee receives (by 5pm on 24 November) to determine the shortlist . The shortlist of two candidates will be voted on by the live audience on 8 December to determine the winner.