Michael V. Brogna Managing Director

Michael Brogna, Financial Services Legal Recruiter

In the News

Michael Brogna Joins Major, Lindsey & Africa as a Managing Director in its In-House Practice Group February 10, 2016 Major, Lindsey Africa announces that Michael Brog... Read More

For 16 years, I have focused my career on financial services (broadly speaking). Originally from Boston, I was fortunate to be at ground zero when the control functions underwent dramatic change: first, the onset of Sarbanes-Oxley, then the implementation of SEC rules 38a-1 and 206(4)-7, and then hedge funds and private equity were required to register a chief compliance officer. The energy surrounding these decisions fueled my interest and passion for the world of compliance and led me to become a subject-matter expert.

Michael Brogna, based in New York City, is a Managing Director with our In-House Practice Group. As part of the Financial Service team, his primary focus is on recruiting general counsel and chief compliance officers for both "buy" and "sell" side clients, global insurance and the consulting industry. He has spent the majority of his more than 16 years in executive search making senior-level placements supporting the middle and back office with an emphasis on the C-Suite "control" functions, which include risk, compliance, audit and legal.

Michael Lives in New York City with his wife, Nina. He is an avid outdoorsman, loves to scuba dive, cook, and is a dedicated follower of Moto GP & Formula 1.

Experience

Michael joined Major, Lindsey & Africa after serving as Vice President, Head of U.S. Corporate Officers & Infrastructure Practice for The Omerta Group. In this role, he focused on forming partnerships with compliance and legal professionals across all sectors of financial services, working closely with wholesale banking, investment banking, hedge funds, traditional assessment and global insurance companies.

Prior to working for The Omerta Group, Michael was a Director with the Charles Sterling Group, where he led the firm's Compliance & Legal Practices. He came to Charles Sterling after seven years with Michael Page International, serving as Regional Manager of their Banking and Financial Services Practices. There he grew the Compliance and Legal Practice and conducted searches for registered / non-registered fund managers, commercial / retail banks, broker dealers and advisory consulting businesses.

Michael has become a thought leader on regulatory and compliance issues, speaks regularly at conferences, seminars and industry events.

Placements

Michael has, among others, placed Chief Compliance Officers at:

  • Arête Research
  • Baupost Group
  • Boston Capital
  • Dwight Asset Management / GSAM
  • Highfields Capital Management
  • Mercer Investments
  • Numeric Investors
  • Standish Mellon
  • Skandia

Other noteworthy placements he has made include:

  • General Counsel at Jasper Ridge Partners and Aflac Global Investors
  • Global Head of Audit of Energy Financial Services and Director Audit Risk Assessments at GE Capital
  • Audit professionals at, Bain Capital, Bank of America, BNYMellon, Bollard Group, Brown Brothers Harriman, Ernst & Young, Fidelity Investments, J.P. Morgan, Standish Management, State Street Bank and Wellington Management
  • Compliance professionals at, Bain Capital, BlackRock, Boston Capital, Brown Brothers Harriman, Columbia Management, Eaton Vance, Fidelity Investments, Fortis Investments, Income Research + Management, Loomis, Sayles & Company, Mercer Investments, OldMutual Asset Management, River Source and Wellington Management
  • Director of AML & Sanctions at Fidelity Investments
  • VP Compliance & Corporate Counsel at JustWorks
  • Senior Counsel at Harland Clarke Holdings Corp and Lord, Abbett & Co.
  • Regulatory Consulting Professionals at Ernst & Young, PwC, and Navigant Consulting

Education

Wheaton College: B.A., Philosophy and Italian

Associations

JDRF

Westport Land Conservation Trust

Westport Fisherman's Association

Ducks Unlimited