Julie Carthane

Chief Compliance Officer | Los Angeles, CA

Professional Overview

Julie Carthane is an accomplished Chief Compliance Officer with nearly 30 years of experience in the financial services industry. She is an expert in navigating complex regulatory environments and developing strategic compliance programs that protect organizational integrity and mitigate risk.

Experience Summary

Current Role

As the Chief Compliance Officer at Houlihan Lokey Capital, Julie is responsible for overseeing all compliance-related activities and ensuring the firm adheres to applicable laws, regulations, and industry best practices. She leads a team of compliance professionals and works closely with senior leadership to implement robust compliance frameworks, policies, and procedures. Under Julie's guidance, Houlihan Lokey Capital has maintained an exemplary compliance record and earned a reputation as an industry leader in ethical business practices.

Career Progression

Prior to joining Houlihan Lokey Capital, Julie held progressive compliance roles at various financial institutions, including serving as the Senior Compliance Manager at Merrill Lynch and the Compliance Analyst at JPMorgan Chase. Her diverse experience has allowed her to develop a deep understanding of the compliance challenges facing the financial services sector and to spearhead innovative solutions that drive sustainable compliance programs.

Academic Background

Julie holds a Bachelor of Science in Finance from the University of Southern California and a Juris Doctor degree from the University of California, Los Angeles School of Law. She is a Certified Compliance and Ethics Professional (CCEP) and a member of the Society of Corporate Compliance and Ethics.

Areas of Expertise

• Financial industry compliance and regulatory requirements

• Risk assessment and mitigation strategies

• Policy development and implementation

• Compliance program management and oversight

• Auditing and monitoring processes

• Compliance training and employee education

• Regulatory reporting and liaison with government agencies

Professional Impact

Under Julie's leadership, Houlihan Lokey Capital has maintained a spotless compliance record, consistently meeting or exceeding all regulatory requirements. She has been instrumental in implementing cutting-edge compliance technologies and data analytics tools that enhance the firm's ability to proactively identify and address potential issues. Julie's dedication to ethical business practices and her ability to navigate complex compliance landscapes have earned her recognition as a trusted advisor and thought leader within the financial services industry.

Conclusion

With her extensive experience, technical expertise, and visionary leadership, Julie Carthane is poised to continue making significant contributions to the compliance function at Houlihan Lokey Capital and the broader financial services industry.