The Compliance Life - Maria D’Avanzo - Move to Compliance

Thomas Fox - Compliance Evangelist
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The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this podcast series. In this episode 2, I visit with Maria D'Avanzo about moving from a law practice into See more +
The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this podcast series. In this episode 2, I visit with Maria D'Avanzo about moving from a law practice into compliance.

The 2008 financial crisis caused a downturn in real estate work, so Maria sold her law practice, which precipitated her move into compliance. Maria began her first compliance role at a real estate-focused private equity shop where she registered investment adviser and broker-dealer entities and obtained series 7, 63, and 24 licenses. After four years, Maria moved to Deputy Chief Compliance Officer at AIG Asset Management, where she led a team of compliance professionals handling regulatory compliance matters on behalf of registered investment advisers and broker-dealer entities in North America. See less -

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