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    Paul Middlemiss

    Executive Legal and Compliance Consultant, Fidelity Investments

    Professional Background

    Paul Middlemiss is an accomplished and seasoned senior executive in the financial services sector, boasting extensive experience as a Chief Compliance Officer (CCO) and General Counsel. He has successfully managed compliance and legal functions across a wide range of business lines, including investment management, broker-dealer operations, ERISA, banking, trust companies, and Foreign Corrupt Practices Act (FCPA) programs. His tenure spans various prestigious organizations, where he has demonstrated an exceptional ability to develop and restructure compliance programs, implement cutting-edge supervisory, compliance, and risk management technology platforms, and navigate complex regulatory environments, including mergers and acquisitions due diligence.

    Paul's work reflects a commitment to excellence, innovation, and strategic thinking, qualities that have consistently positioned him as a leader in his field. His ability to articulate complex compliance issues clearly fosters trust and confidence among stakeholders, empowering his teams and contributing to organizational success. Additionally, Paul is dedicated to nurturing emerging talent, mentoring those who aspire to make their mark in the compliance and legal arenas.

    Education and Achievements

    Paul's educational background is both rigorous and impressive. He holds a Juris Doctor (JD) degree from St. John's University School of Law, where he honed his legal expertise, particularly in compliance and regulatory matters. His academic achievements also include a Bachelor of Science (B.S.) in Business from St. John's University College of Business Administration, where he graduated with a stellar GPA of 3.8/4.0. This foundation in both law and business equips Paul with a unique perspective on regulatory and compliance challenges.

    Further enhancing his leadership capabilities, Paul participated in the Executive Leadership Program offered at Harvard Business School Executive Education. This prestigious experience has helped him develop a strategic mindset and advanced skills necessary for navigating the complexities of the financial services landscape.

    Key Positions Held

    Throughout his career, Paul has held several prominent positions, each contributing to his depth of knowledge and expertise:

    • Executive Compliance and Legal Consultant at Fidelity Investments: In this role, he provided critical legal and compliance guidance across various platforms, enhancing Fidelity's robust compliance framework.
    • Managing Director & Chief Compliance Officer at ORIX USA Corporation: Paul was instrumental in leading compliance initiatives and risk management strategies, ensuring that the organization met regulatory requirements efficiently and effectively.
    • Executive Vice President & Chief Compliance Officer at LPL Financial: Here, he played a pivotal role in overseeing compliance and governance structures, addressing conflicts of interest, and safeguarding operational integrity.
    • Chief Compliance Officer of the Private Bank at Bankers Trust: In this capacity, Paul ensured that banking practices adhered to both internal standards and external regulatory requirements.
    • General Counsel at GAMCO Investors: He provided legal counsel and guidance, strategically positioning the firm to navigate complex legal and compliance landscapes.
    • Staff Attorney at U.S. Securities and Exchange Commission: Paul’s career began with an impactful role at the SEC, where he gained invaluable experience in securities regulation and enforcement.

    Paul has also served as a Compliance Consultant & Expert Witness at Bates Group, leveraging his extensive expertise to lend credibility and insight to various legal proceedings. His ability to articulate complex compliance issues clearly has made him a trusted advisor in the industry.

    Achievements

    Paul Middlemiss's numerous achievements throughout his career underscore his expertise and dedication to excellence in compliance and legal practices. He has been recognized for:

    • Developing and restructuring compliance programs that align with business goals and regulatory expectations, significantly mitigating risks.
    • Implementing innovative compliance and risk management technology solutions that enhance operational efficiency and monitoring.
    • Navigating complex regulatory frameworks, executing strategic plans that have resulted in successful outcomes during M&A activities.
    • Fostering a culture of ethics and compliance within organizations, ensuring that team members understand the importance of adherence to legal standards.

    His mentorship of developing talent further exemplifies his commitment to fostering the next generation of compliance and legal professionals, ensuring that they are equipped with the necessary skills and knowledge to succeed in a fast-evolving regulatory environment. Paul's holistic approach to leadership emphasizes the significance of building compliant practices that not only meet regulatory requirements but also support overall business objectives.

    In conclusion, Paul Middlemiss stands out as a dynamic leader in the financial services industry. His extensive experience as a Chief Compliance Officer and General Counsel, coupled with his impressive academic background and commitment to mentorship, positions him as a key figure in the compliance realm. Paul's ability to adapt to the changing regulatory landscape while empowering others continues to drive success for the organizations he serves.

    Related Questions

    How did Paul Middlemiss develop his expertise in compliance and regulatory matters throughout his career?
    What strategies has Paul Middlemiss implemented to enhance compliance structures across diverse business lines?
    In what ways has Paul Middlemiss contributed to the mentorship and development of emerging talent in the financial services industry?
    What innovative compliance and risk management technologies has Paul Middlemiss successfully implemented during his executive career?
    How has Paul Middlemiss navigated complex regulatory environments throughout his career, particularly in M&A activities?
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    Location

    New York City Metropolitan Area