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 are some of the skills a CCO needs to success navigate the compliance waters in any company? 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 new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Maria D’Avanzo. We discuss Maria’s journey from a real estate and probate lawyer to compliance, then CCO chair, and now as the Chief Evangelist Officer at Traliant.
The 2008 financial crisis caused a downturn in real estate work so Maria sold her law practice. This precipitated her move into the compliance field. Maria began her first compliance role at a real estate focused private equity shop. Here 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 both registered investment advisers and broker dealer entities in North America.
Resources
Maria D’Avanzo LinkedIn Profile
