Sterling Capital Leadership
Charles Durham
Executive Director
Chief Compliance & Risk Officer
Background
Charles Durham, Executive Director, joined SCM in 2018 and has over 20 years of industry experience. Charlie is Chief Compliance & Risk Officer with years of compliance experience supporting investment advisers, investment companies, and broker-dealers. Prior to joining SCM, he worked for Brown Brothers Harriman & Co., where he was the compliance advisory officer to Brown Brothers Harriman’s Private Banking and Investment Management lines of business and the Head of Brown Brothers Harriman’s Compliance Services Group, with primary responsibility over compliance policies and procedures, compliance risk assessments, and compliance testing and monitoring. Selected prior experience includes AIG Asset Management and Smith Barney when it was part of Citigroup. Charlie received a B.A. in Policy Studies from Syracuse University and an M.B.A. in Finance from Fordham University.
Area of Focus
- Compliance & Risk
Previous Experience
- Brown Brothers Harriman & Co.
- AIG Asset Management
- Smith Barney
Education
- B.A. Syracuse University
- M.B.A. in Finance from Fordham University
Affiliations & Professional Licenses
- Securities Industry and Financial Markets Association (SIFMA)
- Investment Company Institute (ICI)
- Investment Adviser Association (IAA)
- FINRA Series 7, 24, 9, 10 & 63
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