Winner and Finalists Announcement: 2022 CCO of the Year Award

In partnership with Starkweather & Shepley, Core Compliance is excited to announce the selection of the 2022 CCO Of the Year Awards! We received numerous nominations on behalf of effective CCOs and their firms. After careful review, interviews, and discussions we have selected some of the most effective leaders, thought-leaders, and industry influencers of the year.

Learn more about our honorees below.

 

Emily Zerbato | CCO Of The Year

Emily Zerbato
WINNER: Emily Zerbato, CCO (Dowling & Yahnke, LLC)

Emily Zerbato serves as the Chief Compliance Officer at Dowling & Yahnke Wealth Advisors, after previously serving as their Compliance Administrator. Throughout her professional career, Ms. Zerbato has dedicated her understanding to sharpening her compliance acumen specifically to the intricacies of the financial industry. Her enthusiasm was established early in her profession, as she has credited her growing curiosity and passion for problem-solving as the fundamentals of her compliance career.

“I have always had an analytical mind and inquisitive nature. When I was first introduced to the industry, I found compliance to be a unique puzzle of navigating the complexities of rules and regulations while providing a high-quality service to clients.” With her passion and dedication to the industry, Ms. Zerbato also earned her Investment Adviser Certified Compliance Professional (IACCP®) designation.

Ms. Zerbato’s affinity for regulatory compliance serves as a cornerstone to her success at her firm. Early in her career, she served as a regulatory consultant, which provided her with additional insight from another perspective. While in the role, she visited many firms and witnessed varying degrees of firm cultures, business models, and service offerings. Upon joining Dowling & Yahnke Wealth Advisors, she was able to apply her experience as both a regulatory consultant and an operation and compliance analyst to create a strong foundational approach to compliance.

Part of being an effective Chief Compliance Officer, as well as having a strong compliance program, is understanding that it is not only about compliance, but rather that success is found in establishing a corporate and company culture that echoes the importance and value of compliance. Ms. Zerbato’s talents and skills, partnered with Dowling & Yahnke Wealth Advisors’ dedication to their clients and high ethical standards, only further cemented the selection of Ms. Zerbato to be the 2022 CCO of Year Award Winner.

 

Rob Siegmann | Finalist 

Rob Siegmann
FINALIST: Rob Siegmann (Total Wealth Planning LLC)

Robert Siegmann, serves as the Chief Operating Officer at Total Wealth Planning LLC.  Within his position, he manages the firm’s compliance program to maintain a firm culture of compliance. He also works closely with guiding a limited number of clients. With over 26 years of experience in financial planning, investment management, and business management, Mr. Siegmann has been quoted and featured in numerous publications throughout his career, including Wall Street Journal, Yahoo! Finance, Financial Advisor Magazine, Business Courier, and several others.  He holds an MBA from Xavier University and also a Behavioral Financial Advisor (BFA) designation.  As a Series 65 licensed Investment Advisor Representative, he is a member of the National Association of Personal Financial Advisors (NAPFA); as well as a charter member of the National Advisor Confidence Index.

Brad Ackerman | Finalist

Brad Ackerman serves as the Chief Compliance Officer at Swan Global Investments LLC, after previously serving as their Director of Compliance. He is responsible for the development and oversight of all aspects of the Compliance program at Swan, with a focus on risk management, sales/marketing materials, code of ethics, process review and improvement, and periodic filings certifications and questionnaires. With over 20 years of financial services experience and 15 of in-house compliance experience, Mr. Ackerman has served numerous notable firms, including Transamerica and Transamerica Financial.  Mr. Ackerman currently holds his Series 24 & 7 licenses.

 

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