2009 Awards Categories

Nominations have now closed. Click here to view the Awards shortlist

Nominations are accepted from individuals themselves, their colleagues or peers.

You are encouraged to give examples of exceptional work, contributions and initiatives instigated by the individual, stating where possible specific factors contributing to their success.

The judges will pay particular attention to examples where the nominated individual has shown success above and beyond that expected in fulfilling their everyday duties. Due to current market conditions, the judges will also look at examples where the nominee has shown innovation in their role, adapted to the market challenges as well as found new ways so manage with smaller budgets and less resource etc.

There will be no discrimination based on the size of the firm or company that nominees work for.

Nominations should be no longer than 500 words.

Individual awards

2009 Compliance Officer of the Year

This award is open to regulatory professionals across all financial services sectors.

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2009 Chief Compliance Officer of the Year

This award is open to senior regulatory professionals across all financial services sectors.

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2009 Young Compliance Officer of the Year

This award is open to regulatory professionals under the age of 35 across all financial services sectors.

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2009 Money Laundering Reporting Officer of the Year

This award is open to money laundering compliance officers MLROs and MLPOs across all financial services sectors.

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2009 Personality of the Year

This award is open to anyone in the compliance industry whose views are published regularly, or who has presented/spoken either at external industry events or internally to colleagues, or who leads industry groups, within the financial services sector.

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2009 Award for Outstanding Long-Term Service to the Compliance Industry

This award is open to regulatory practitioners across all financial services sectors.

Nominations are encouraged for individuals who have been in the compliance/regulatory sector for more than 20 years and whose contribution to the advancement of the culture of compliance and improvement of the regulatory structure has been outstanding, perhaps ground-breaking but always consistent. This award is open to consultants, regulators, trade association representatives and all staff of regulated firms.

You are encouraged to detail, where possible, the career progression of the individual and all significant achievements throughout that career. Nominations will be judged on length of service, level of success, industry reputation and positive contribution to the sector as a whole.

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2009 Most Effective Compliance Training at a Regulated Firm

This award is open to those in an internal training capacity within regulated firms or designated professional bodies.

Nominations should outline the compliance training that this individual has implemented at their firm. You should specify why the individual's approach was particularly effective. You should try to quantify the success of the training and the reactions of regulators, business lines or senior managers to the solution and the efforts of the individual.

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2009 Trade Association Personality of the Year

This award is open to individuals working within recognised trade associations in the financial services sector. Its purpose is to recognise the contribution that the nominated individual has made to the trade association itself, its members and the wider regulated community.

Nominations should outline any key projects or initiatives that the individual has been involved with, and how those projects have positively affected or influenced the wider community. You should specify why the individual's approach was particularly effective and try to quantify the reactions of the wider community.

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Services

2009 Compliance Innovator of the Year

This award is open to all firms within the financial services industry where the compliance department has shown exceptional ability to adapt to the current market conditions.

You are encouraged to give examples of where the compliance department has found cost-efficient ways of coping with less budget and resource and found innovative ways to deal with market challenges.

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2009 Best Regulatory Law Firm or Lawyer of the Year

This award is open to providers of legal advice in all sectors of financial services.

You are encouraged to give examples of advice given to regulated firms, quantifying the success of this advice and explaining the extent to which this helped the firm advised. You are encouraged to detail the reactions of regulators, compliance, business lines or senior managers to the advice. The judges will look for an individual or firm that has supplied exceptional service and a unique level of expertise in the field of financial services regulation.

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2009 Best Consulting Firm of the Year

This award is open to providers of consulting services in all sectors of financial services. Nominations are accepted from consultants themselves, individuals themselves and from clients of consulting firms. There will be no discrimination based on the size of the firm which gave the advice. Nominees are encouraged to give examples of advice given to regulated firms, quantifying the success of this advice and explaining the extent to which this helped the firm advised. You are encouraged to detail the reactions of regulators, compliance, business lines or senior managers to the advice and consulting.

Nominations will be judged on unique, cost-effective and practical consulting around compliance issues faced. Nominations should be no more than 500 words.

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