Type Of Business:
Financial services company
Expertise:
Foreign Corrupt Practices Act and corporate compliance; Department of Justice regulations
Major Product/SVS:
Investment products, services and planning resources to help those in the academic, medical, cultural, governmental and research fields to plan for and live in retirement
Education Degrees:
JD, University of Florida (1990); Bachelor's Degree in Public Relations, University of Florida (1987)
Affiliations Awards:
ABA; Minority Bar Association; Association of Corporate Counsel
Charity:
Volunteer, Hale House Center, Inc.; St. Aloysius School; American Cancer Society
Number Of Years In Profession:
9
Number Of Years In Current Position:
4
What Does He/She Attribute Success To:
She attributes her success to her hard work, focus on her job, and good family support.
Why did you become involved in your profession or industry?:
She became involved in her profession in order to prevent violations from occurring. After graduating from law school, she worked for the government as a federal prosecutor for six years and five months. She then worked in-house for a company, where she endeavored to identify the root causes of litigation that resulted in the company paying for damages. In 2003, following the passage of Sarbanes–Oxley legislation, many firms were mandated to maintain chief compliance officers in order to prevent regulatory violations.
Extended Bio Profile:
Ms. Thompson has spent nine years working in compliance and 20 years in the legal field. A key regulator in the financial services industry is the U.S. Securities and Exchange Commission, not to mention the 50 state departments.
Position Responsibilities and Duties:
Ensuring that the business complies with critical rules and regulations
Where Will You Be In 5 Years:
In five years, Ms. Thompson hopes to remain in-house with the firm, holding a general counsel role.