R.J. O’Brien & Associates (RJO), the largest independent futures brokerage firm in the United States, announced today that it has appointed Nancy A. Westwick to the new role of Chief Compliance Officer (CCO).
Jamal Oulhadj, Chief Risk Officer of RJO, said: "Nancy’s extraordinary credentials in financial services law and compliance make her the ideal person to take on this critical new CCO role. As we are seeing a heightened regulatory environment in 2011, we are pleased to bring her leadership and comprehensive approach to our team of experienced compliance professionals. And as we continue on our international growth trajectory, Nancy will ensure that our global offices establish an equally rigorous compliance program and work with the appropriate regulatory organizations to meet their evolving requirements."
Said Westwick: "RJO has an excellent reputation in the industry. I’m excited about the opportunity to apply my background in compliance and financial services law to the organization’s diverse offerings, including the extensive introducing broker network and the commercial and institutional divisions."
Over the past 10 years, Westwick served as Assistant General Counsel for LindWaldock, Associate General Counsel of Refco, LLC and Compliance Counsel of MF Global Inc. She previously was an independent contract attorney at Jeffrey M. Jacobson & Associates and Director of Market Data at Mercury Trading, Inc., where she was responsible for maintaining daily trading records for appropriate regulatory agencies.
Westwick has served for a decade on the Futures and Derivatives Committee of the Chicago Bar Association, chairing the committee from 2005 to 2006. An active member of CME Group’s Business Conduct and Probable Cause committees since 2007, she has spoken publicly on topics including ethics in derivatives trading and the effects of copyright and trademark law on futures brokerage and clearing firms. She also authored a chapter on the legal and compliance aspects of opening a futures account in The Complete Guide to Futures Trading published by John Wiley & Sons in 2005.
Westwick obtained a Bachelor of Arts degree, with highest honors, from Rutgers University, majoring in political science and criminal justice. She earned a Juris Doctor degree from Loyola University of Chicago Law School, and a Master of Laws (LLM) degree in Financial Services Law from the Illinois Institute of Technology (IIT) Kent College of Law in Chicago. For the latter degree, she is a two-time recipient of the CALI Excellence for the Future Award, bestowed on the highest scoring student in a law school class. Westwick also earned induction into the Phi Beta Kappa Honor Society, the Alpha Sigma Lambda Honor Society and the Pi Sigma Alpha National Honor Society.
She and her husband reside in Algonqui.
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