Episode 77: Getting to Know our Compliance Analyst!

On episode 77 of the CCO Buzz, we’re getting to know a member of the Compliance Team!


CCO Buzz: Hello and Welcome Back to the CCO Buzz! On today’s episode we’re getting to know someone from the Compliance Team, Compliance Analyst. We had such a blast speaking with him and can’t wait for you to hear about his VERY interesting journey into compliance. So, with that, let’s begin…

So, welcome to the CCO Buzz. Can you tell us a little bit about yourself, your background, and your experience in the industry?

Compliance Analyst: Certainly. Well my background originally was in broadcast journalism, with dreams of becoming the next big anchor on EPSN Sport’s Center. Of course, when that didn’t work out, I decided my fallback career would be international pop-star. But after being rejected by the American Idol judges I ended up working in the casino industry, which set me on a track from casino operations to casino accounting, to internal audit, to casino compliance and eventually to anti-money laundering compliance. And after doing that for awhile, I decided the next logical step in my career was to go to law school, where I had a concentration in business and corporate law, including securities. [This] led me into securities compliance after [I] graduated. And it gave me a chance to bridge my previous career with my new career. And here I am!

CCO Buzz: That’s interesting, who would’ve thought! So, with your career path, how did you get into or what drew you to working in the compliance industry?

Compliance Analyst: So part of it was familiarity, with my background being in anti-money laundering. Essentially having the background with regulatory compliance, it was sort of like a fallback into what I had been doing [previously]. Officially I had been working as a Compliance Manager for a gaming company. And then I was enlisted to create an anti-money laundering program for one of the casino companies, which we did over the course of about a year and a half. And so I enjoyed the ability to look at a regulatory framework, and then look at an operational program, and basically assess how the current operations could fit within that regulatory structure and where changes needed to be made and to fit a practice into a regulatory framework.

CCO Buzz: Now that you’re starting your career in compliance, do you have any tips for anyone wanting to get into compliance as a career?

Compliance Analyst: Well in my case it was sort of an operational transition. I started working on the Ops (operations) side, and then ended up switching over after learning the way the business runs on a practical level. And then switched over to see what the guidelines are from the regulatory standpoint from a compliance level. So I think that can be a powerful gateway by somebody [who] decides they want to get into compliance of a particular type. They could try to start out working operationally for an investment adviser or for a bank, or something along those lines, to see the lay of the land from a broader perspective before switching over and looking at the nuts and bolts as a compliance professional.

CCO Buzz: Awesome. That’s really going to be helpful to anyone looking to start their career.

Well that’s it for this week’s episode. If you’d like additional information, please check out our website at www.corecls.com. You can also follow us on Facebook, LinkedIn, or Twitter @CoreCls. Thank you, and we hope you tune-in to next week’s episode of the CCO Buzz.


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