Mr. Sussman founded Regulatory Compliance in 1989, providing broker-dealer and investment adviser compliance consulting services to hundreds of clients worldwide. He has particular expertise in broker-dealer accounting practices and is well versed in SEC-regulated accounting procedures. Prior to starting Regulatory Compliance, he performed exams of SEC-registered investment companies and was a senior examiner with FINRA (formerly NASD) in New York and Boston.
Series licenses: 7, 24, 27, 63, CPA
Mark S. Alcaide, CPA/MBAPartner, COOma@regulatorycompliance.com
Mark Alcaide is Regulatory Compliance’s chief operating officer and chief financial officer. Mr. Alcaide leads the firm's management team in developing and delivering all elements of Regulatory Compliance’s services, its strategic plan, and all policy and management initiatives. His role centers on business and client relationship development, and on overseeing all financial and administrative operations. Mr. Alcaide spent the previous 20 years working for Ropes and Gray, a leading national and global law firm, the Clinton Foundation, Fidelity, Gillette and Price Waterhouse Coopers, where he in various roles performed CFO and COO responsibilities. In each of these roles, his focus was on building world-class functions across all support areas, designing cost effective client solutions, and engaging directly with clients to fashion innovative service and pricing offerings. Mr. Alcaide also serves on several Boards, including as Vice President and Executive Committee member of the Kents Hill School, as well as Treasurer and Executive Committee member of Acton Boxborough Youth Soccer/Strikers United, one of the largest youth soccer organizations in Massachusetts.
Lisa SussmanVice President, Treasurerls@regulatorycompliance.com
Ms. Sussman specializes in FINRA Continuing Membership Applications (CMA) pursuant to NASD Rule 1017, assisting clients with the many details involved in this complex process, including changes to ownership structure and business lines. She also performs on-site client services such as mock examinations, AML examinations, new office setups and branch exams. Ms. Sussman serves as company treasurer and human resources coordinator and works closely with the management team to ensure the company operates efficiently.
Beverly FetckoVice Presidentbf@regulatorycompliance.com
Ms. Fetcko is a paralegal, Certified Trust and Financial Adviser (CTFA), and member of the National Society of Compliance Professionals, offering more than 30 years of securities industry experience. Her responsibilities at Regulatory Compliance as the Director of Broker-Dealer Services include consulting on various compliance issues; oversight of client relationships; conducting AML, branch office, and mock exams; as well as managing the day-to-day activities of the Broker-Dealer PartnerProgram. Prior to joining Regulatory Compliance, Ms. Fetcko was an operations manager with a major Midwest brokerage firm.
Craig Moreshead, Esq.Vice Presidentcm@regulatorycompliance.com
Mr. Moreshead manages compliance services for investment adviser clients including registrations, policies and procedures, and examinations. As an attorney with in-depth knowledge of federal securities regulations, Mr. Moreshead specializes in regulatory issues related to hedge fund and private equity managers. Previously, he worked for a large financial services company, where he provided compliance counsel to the registered investment adviser and fund family, broker-dealer, and business executives regarding compliance with federal and state regulatory requirements.
Laura Crosby-Brown, EA, MBAVice Presidentlcb@regulatorycompliance.com
Ms. Crosby-Brown specializes in broker-dealer registrations, compliance, and examinations and is a CCO and financial and operations principal. She has more than 25 years of compliance experience, having also worked at a large national securities firm where she reviewed representatives' advertising and sales literature, coordinated the firm's continuing education plan, and provided training. She also served as the manager of financial and tax reporting and FINOP for a life insurance-affiliated broker-dealer, performing federal and state financial, tax and regulatory filings; net capital computations; and separate account accounting.
Series licenses: 7, 24, 27, 63
Philip DawickiVice Presidentpd@regulatorycompliance.com
With more than 25 years in the financial services industry, Mr. Dawicki manages services to clients in meeting their financial regulatory compliance requirements and is responsible for technical consulting, quality control and practice development. Previously, he spent 17 years at regional and international CPA firms, becoming a specialist in broker-dealer GAAP accounting and FINRA/SEC regulatory reporting systems. As an Audit Partner and Director, he was responsible for the development of the financial services practice area. He has audited and reviewed net capital and FOCUS reports for compliance with Rule 15c3-1 for broker-dealers in all sectors of the industry. He has also audited and consulted with hedge funds, commodity funds and investment advisory firms.
Stephen Murphy, CFAVice Presidentsmurphy@regulatorycompliance.com
Stephen Murphy comes to Regulatory Compliance’s NYC office with over 25 years of experience in the Capital Markets as a trader, broker, CCO, operations officer, FinOp, and CEO. Mr. Murphy developed broad knowledge of the financial markets and compliance related thereto through 15 years of trading in both commodities and equities, building execution focused BDs, and running a global Alternative Trading System for both equities and fixed income. Mr. Murphy is poised to assist firms to maintain robust systems, processes and compliance regimes while growing their franchise.
Sarah VairaMarketing Managersv@regulatorycompliance.com
With the company since 1998, Ms. Vaira assists with day-to-day operations and works closely with the executive management team to ensure clients' expectations are being met. She manages marketing campaigns including conference tradeshows, website management, newsletter oversight, digital analytics, public relations and other communications with clients and prospects. Ms. Vaira also oversees event management including national, regional and online educational offerings.
Ms. Abramczyk joined Regulatory Compliance, LLC of Londonderry, NH in March of 2006 with over 12 years’ experience in the financial services industry. Now with 20 years’ experience she currently serves as a senior account manager for the PartnerProgram, as well as the outsourced Chief Compliance Officer for several Regulatory Compliance clients. In this role she is responsible for the oversight and management of day-to-day operations and client relationships for dozens of Broker-Dealers. Her experience allows her to focus on Elite-level clients where she supports CCO’s in executing the required daily compliance tasks. As a CCO herself, serving several private placement and third party marketing Broker-Dealers, Jane is uniquely positioned to provide support services and CCO level insight and guidance to Broker-Dealers. Additionally, Ms. Abramczyk writes compliance specific articles and blogs which provide further guidance to industry professionals. She is qualified to conduct independent AML testing, and holds the Series 7 and 24 FINRA registrations. Prior to joining the Regulatory Compliance team, she was an Operations Specialist at Jefferson Pilot Securities Corporation, responsible for the review of check requests, review of new account documents, journal entries, ACATs, and fraud review reporting.
Series licenses: 6, 7, 24
Lori Weston, IACCP ®Vice Presidentlw@regulatorycompliance.com
Lori Weston joined Regulatory Compliance, LLC in March of 2012 and currently serves as Manager, Investment Adviser Services. She handles the compliance consulting needs of the firm’s investment adviser clients, including registrations and examinations, SEC and state regulatory interpretations, and the provision of services through the firm’s PartnerProgram. In addition, she is also responsible for business development and serves as an investment adviser resource for conferences, webinars, newsletter articles and other firm-sponsored and third-party events and publications. She has over fifteen years’ experience in the financial services and securities industry working with investment advisers and broker-dealers. Prior to joining Regulatory Compliance, Ms. Weston was employed by Lincoln Financial Group. During her tenure with Lincoln, she held numerous positions, working in the areas of advisory services and compliance. As a manager of RIA compliance, she was responsible for all compliance-related aspects of four corporate registered investment advisers with combined assets under management of over $8.5 billion, and also provided compliance consulting and support to over 60 independent SEC and state-registered RIAs. Her principal responsibilities included enacting and enforcing the policies of the corporate RIA. Ms. Weston graduated from the University of Maryland with a B.S in Accounting.
Series 6, 7, 24 and 66, Investment Adviser Certified Compliance Professional® designation
Evan IgnallSenior Consultanteignall@regulatorycompliance.com
Evan Ignall joined Regulatory Compliance, LLC in March of 2014. He has assisted in the growth and development of the firm's New York City office. With over 25 years of financial services industry experience, Mr. Ignall is registered as Chief Compliance Officer providing business and compliance guidance to some of our larger broker-dealer clients in the New York City area. Prior to joining Regulatory Compliance, Mr. Ignall led S.D. Daniels and Co.'s compliance group from 2006 - 2014 and became the founding partner of their Regulatory Services practice. At S.D. Daniels he managed the firm's regulatory support services and served as the Chief Compliance Officer for prominent broker-dealer clients within the practice. Previously he served as a Senior Vice President and the Head of Compliance Training for Citigroup's Corporate & Investment Bank, as Director of Compliance at Buchanan Associates, as the Continuing Education Manager for Securities Training Corporation and as a consultant to the New York Institute of Finance. Mr. Ignall received a BA from Rutgers College and an MS from Steven's Institute of Technology. He is a General Securities Principal (Series 24), a Financial & Operations Principal (Series 27), a FINRA Arbitrator (Industry), and he is a member of the SIFMA Compliance and Legal Society and the National Society of Compliance Professionals. Mr. Ignall is a frequent speaker at industry conferences and events.
Ms. Musco joined Regulatory Compliance in September of 2009 and serves as Supervisor for the CRD FilingPro Department and Compliance Consultant for the PartnerProgram teams. She supervises the completion of CRD work, manages the electronic compliance system, assists with the on-boarding of new clients, and assists with the coordination of Firm Element training.
Kathryn LangridgeSenior Consultantkl@regulatorycompliance.com
Ms. Langridge joined Regulatory Compliance, LLC in October 2008 and serves as an account manager for the PartnerProgram. In this role she is responsible for the management of day-to-day operations and client relationships with over 40 broker-dealer and investment advisory firms. In addition, Ms. Langridge researches compliance issues and is called upon to furnish compliance specific articles for publication. Ms. Langridge has 5 years’ experience in the financial services industry. Prior to joining Regulatory Compliance, she was a Senior Correspondent with Mutual of America.
Series licenses: 6
Lisa SinnottCompliance Associatelsinnott@regulatorycompliance.com
Ms. Sinnott spent 7 years with Putnam Investments as an Accounting/Reconciliation specialist performing fund accounting on institutional funds. When Putnam consolidated this function over to State Street Corporation, Lisa continued in this role for another 5 years working on the daily pricing of several institutional funds (NAV) both domestic and international. In her role as CRD/IARD specialist, she supports the Broker/Dealer and Investment Adviser departments in filing U4’s, U5’s, and other FINRA documents on the WebCRD system.
Herbert PontzerSenior Consultanthpontzer@regulatorycompliance.comExt. 314
Herbert Pontzer has been associated with the financial services industry for over twenty years as a manager, regulator, and corporate executive and financial industry consultant. Prior to becoming an independent consultant specializing in broker-dealer and investment advisor services, Mr. Pontzer served as a senior executive and Chief Compliance Officer for two national independent broker-dealer/RIAs. As CCO, he was responsible for the development and implementation of risk management programs that included auditing, surveillance, complaint handling, training, advertising, regulatory reporting, platform and direct business processing and the management of the compliance departments. Mr. Pontzer’s work experience in the corporate sector was preceded by a 12 year career as a regulator with the National Association of Securities Dealers (k.n.a. FINRA). As a Senior Analyst with the Association’s Corporate Financing Department in Washington, DC he reviewed initial public offerings for compliance with the securities laws. Later, as a Field Supervisor for the NASD’s Washington DC and Cleveland District Offices, he was responsible for directing staff examiners during on-site routine examinations and special investigations. He received a BA in Government from Georgetown University and an MBA in Finance from American University. He is a Certified Financial Planner (CFP®), a Certified Anti-Money Laundering Specialist (CAMS)
Series 7, 24, 27, 53, 63, 65, 99 and FL-Life, Health and Variable Annuity Insurance.
Mary ToumpasSenior Consultantmtoumpas@regulatorycompliance.comExt. 147
Mary Toumpas joined Regulatory Compliance in November 2014 as Senior Broker Dealer Consultant. With over 30 years of extensive compliance experience, Ms. Toumpas now serves as Chief Compliance Officer (CCO) for several client firms as well as providing a broad array of compliance consulting to our most complex engagements.
Series 7, 24, 63, 65, and 99
Patrick LabbeCompliance Associateplabbe@regulatorycompliance.com
Mr. Labbe’s primary role as a CRD/IARD specialist is to support the Broker/Dealer and Investment Adviser departments in preparing and filing forms on FINRA’s WebCRD system. He also works with our electronic compliance system to assist the account managers and clients with the growing utilization of the system.
J. Michael DrytonSenior Consultantmdryton@regulatorycompliance.com
Michael Dryton has more than 25 years’ experience serving the financial services industry. Starting his career as outside counsel and then as General Counsel (and Anti-Money Laundering CCO) for a dually-registered investment adviser and broker-dealer, he has developed a keen appreciation for finding practical solutions to difficult compliance problems. Mr. Dryton uses his extraordinarily deep industry experience to help a wide variety of investment advisers, private fund managers, and broker-dealers, particularly large, multi-channel financial organizations, to develop effective compliance programs and solve complex regulatory issues. Mr. Dryton is a frequent industry compliance instructor, conference panelist and lecturer with a thorough understanding of compliance requirements and industry best practices. He has also worked several years developing web applications and becoming familiar with the industry’s most familiar software packages in support of regulatory compliance, allowing him to assist clients to understand many of the technical issues related to Reg. S-P, Reg. S-ID, and other regulations that have technology-related (e.g. privacy) implications.
Previously held licenses Series 7, 24, 63, and 6
Megan JonesCompliance Associatemjones@regulatorycompliance.comExt. 155
Megan Jones joined Regulatory Compliance in 2016 as a Compliance Associate with the investment adviser services team. She supports the compliance consulting needs of investment adviser clients by completing regulatory filings, interpreting SEC and state regulations, developing program deliverables, as well as exploring and investigating investment adviser related compliance questions or issues. Prior to joining Regulatory Compliance, Ms. Jones was employed by Endurance International Group as a Legal Support Analyst, where she was responsible for drafting regulatory filings, contracts and legal correspondence as well as conducting research on SEC regulations and practices. Ms. Jones has earned a B.S. in Business Administration from Western New England University and a Certificate in Paralegal Studies from Boston University.
Katherine LibbyCompliance Associateklibby@regulatorycompliance.com
Katie Libby joined Regulatory Compliance, LLC in February 2015 and serves as a compliance associate with the investment adviser services team. Ms. Libby supports the compliance consulting needs of the firm’s investment adviser clients, including registrations and examinations, SEC and state regulatory interpretations, risk assessments and the provision of services through the firm’s PartnerProgram. Ms. Libby has over ten years’ experience in the financial services and securities industry working with broker-dealers and investment advisers. Prior to joining Regulatory Compliance, Ms. Libby was employed by The Cerato Group in Nashua, NH. During her tenure there, she served as the Registered Client Service Manager. In this role, she was responsible for all client service aspects of the firm as well as maintaining the offices policies and procedures, responding to annual risk assessments and maintaining various vendor relationships. Prior to The Cerato Group, she worked in the advisory services department at Lincoln Financial Group. There she engaged with a broad scope of investment advisers in supporting their access to the firm’s wrap fee and separate managed account platforms. Ms. Libby graduated from Southern New Hampshire University with an M.S. in International Business.
Series 7, 24 and 66 licenses
Doug KaminSenior Consultantdkamin@regulatorycompliance.com
Doug Kamin serves as a Senior Compliance Consultant for investment adviser clients with a focus on comprehensive assessments, development of policies and procedures, examinations, registrations, and operating as a firm’s outsourced CCO. As an experienced compliance professional with in depth knowledge of federal securities regulations, Mr. Kamin specializes in regulatory issues related to investment advisers, hedge fund managers, and broker dealers. Previously, he worked for large financial services companies where he served as Managing Director and the Senior Compliance Officer responsible for registered investment advisers and broker-dealer compliance.
Previously held Series 7, 8, 14, 24, 63 and 65 licenses and the Certified Anti-Money Laundering Specialist® designation
Christopher ClancySenior Consultantcclancy@regulatorycompliance.com
Chris Clancy serves as a Senior Consultant specializing in regulatory matters related to broker-dealers and investment advisers. As an experienced compliance professional, he provides consultation pertaining to broad array of FINRA and SEC rules and regulations. His previous financial services roles include serving as Chief Compliance Officer for both retail and institutional broker dealers. In his prior roles, Mr. Clancy regularly interacted with FINRA and the SEC regarding various compliance matters and was responsible for performing branch office examinations, advertising and sales literature review, principal review of new accounts, investigating and responding to customer complaints, and conducting trade surveillance. Mr. Clancy received his Bachelors of Science in Business Management from Adelphi University Garden City, New York.
Series 7, 24,63,4, and 55 licenses
Myles BlechnerSenior Consultantmblechner@regulatorycompliance.com
Myles Blechner has been in the Financial Services Industry since 1994 and has served as a Registered Representative, Trading Desk Manager, Operations Manager, Compliance Manager, and Broker Dealer and Investment Adviser Chief Compliance officer. Most recently, Myles has served as Chief Compliance Officer for Lebenthal and Co., LLC, a New York-based Broker Dealer, Lebenthal Wealth Advisors, and Lebenthal Asset Management, affiliated Investment Advisers, and over the course of his career, has worked at Paine Webber/UBS, Dreyfus Service Corporation, Laidlaw and Co (UK) Ltd,First Empire Securities, and Schonfeld Securities. He attends and has spoken at Industry Conferences and Events and maintains a strong rapport with the regulatory bodies. His approach to compliance is to create a culture of compliance within the Firm, in which sales and trading sees compliance as a business partner.He attends and has spoken at Industry Conferences and Events and maintains a strong rapport with the regulatory bodies. His approach to compliance is to create a culture of compliance within the Firm, in which sales and trading sees compliance as a business partner. His experience includes Broker Dealer and Investment Adviser Compliance Programs, including Policies and Procedures, Codes of Ethics, Conflicts of Interest, Annual Compliance Meetings and Training, and Regulatory Filings.
Series 4, 7, 9, 10, 24, 53, 55, 63, 79, 99, NYSE Series 14 and the NY State Life, Accident, and Health Insurance Licenses
Richard MatteraSenior Consultantrmattera@regulatorycompliance.com
Mr. Mattera is an experienced financial and operations principal. He reviews financial reporting and regulatory filings for clients and makes recommendations to maintain compliance.
Walter CostenbaderSenior Consultant, FINOPwc@regulatorycompliance.com
Walter Costenbader is engaged by Regulatory Compliance to be an outsourced Chief Compliance Officer and Financial/Operations Principal for its broker-dealer, investment advisory and municipal advisor clients, as well as an auditor for its examination programs. Mr. Costenbader has over 25 years of experience in senior level positions within the financial services industry. Mr. Costenbader started a broker dealer and investment advisor for CIGNA Corporation and served as its Chief Financial Officer, Chief Compliance Officer, and Chief Operations Officer. Later, Mr. Costenbader had a lead role in forming a broker-dealer for Webster Bank and was its Chief Compliance Officer and Chief Financial Officer. Additionally, during his career as a consultant he has guided global financial services firms in remediating significant issues with regulators. Mr. Costenbader is a Certified Financial Planner (CFP®) and active FINRA Arbitrator.
Series licenses: 7, 24, 27, 53, 63, 65 and CFP®
Robert CampbellSenior Consultant, FINOPrcampbell@regulatorycompliance.com
Robert has 18 years of combined experience in the management of broker dealer, hedge fund, and investment adviser compliance and financial reporting. He is a CPA and began his career with the NASD, now FINRA, becoming a Senior Compliance Examiner. Since then he has held Treasurer, CFO, CCO, and Chief Accounting Officer positions with a variety of firms in the industry including a dually registered RIA firm and BD, a BD engaged in corporate and public finance, a municipal bond BD, a billion dollar hedge fund and BD, and bank owned Broker Dealers. His experience includes responsibility for compliance, financial reporting, regulatory financial preparation (FOCUS, SSOI) and reporting, Net Capital, and year-end financial statement preparation for the annual PCAOB registered audit. He has also helped develop numerous compliance and reporting systems to meet financial and regulatory reporting requirements.
Series licenses: 7, 24, 27, 53, and 63
Thomas HopkinsSenior Consultantthopkins@regulatorycompliance.comExt. 316
Thomas Hopkins has over twenty years of experience as FINOP in the financial services and securities industry. In his role as FINOP and Financial Consultant, he is responsible for providing and reviewing financial reporting and regulatory filings for broker-dealer clients. Prior to joining Regulatory Compliance, Mr. Hopkins was VP Regional Finance-Regulatory Reporting with Deutsche Bank Securities, Inc. and Cantor Fitzgerald and Co both in New York City, where he was responsible for implementing and testing new policy and procedures related to SEC regulations as well as financial management validation and control for the US broker-dealer including all regulatory reporting and financial statement reporting. He is experienced with developing procedures, controls and testing for SEA Rule 17a-5; net capital calculating and FOCUS reporting; SEC Form 17h, and presentation of financial to senior management. Mr. Hopkins is a former FINRA Coordinator as well as VP Finance. In his role with Regulatory Compliance, Mr. Hopkins will keep current on regulatory developments to assist in making strategic recommendations for our clients. He holds a Bachelor of Science degree in Business Administration with Series 27 and 99 licenses.
Series licenses: 27, 99
Stacey PetersSenior Accountantsp@regulatorycompliance.com
Ms. Peters has assisted the Regulatory Compliance team for over 10 years. She prepares monthly net capital computations and financial statements, prepares and files monthly/quarterly FOCUS reports, and communicates with FINRA and SEC examiners for Regulatory Compliance's client base.
Laurie HassayAccountantlhassay@regulatorycompliance.comExt. 512
Ms. Hassay has over 20 years of experience in accounting as a Controller and consultant supporting and advising companies on business solutions for their day to day operations and over 10 years working in the Broker/Dealer industry. Her services include general accounting, preparation of financial statements, and SEC-FINRA compliance. At Regulatory Compliance, Ms. Hassay works with the accounting team to complete monthly accounting reports, monthly net capital computations and financial statements and monthly/quarterly FOCUS and SSOI reports. She also communicates with FINRA and SEC examiners for Regulatory Compliance's client base. Laurie is licensed in FinOp and holds a Series 27.
Ms. Hardiman performs compliance examinations and other compliance work for Regulatory Compliance clients. Previously, she served as vice president of business solutions for two broker-dealers. In this capacity she analyzed industry services and compliance trends and worked with internal and external customers to define business needs and provide effective solutions. In addition, she identified and successfully implemented several strategic solutions, including technology related to compliance, record retention, account opening, consolidated customer statements, back-office administration, and field web sites.
Series licenses: 7, 24 Prior Series licenses: 65
Ms. Beaulieu assists with broker-dealer and investment advisor registrations and various compliance filings. She supports Chief Compliance Officer’s with email and advertising review and other compliance consulting projects. Ms. Beaulieu has over 7 years of experience in the securities industry, including her role as a Senior Agency Compliance Consultant at a MetLife Office of Supervisory Jurisdiction with principal responsibilities that included account approval, representative and investment advisor supervision, email and correspondence review as well as annual individual compliance reviews and branch reviews.
Series licenses 4, 7, 24, 53 and 63
Joy Bockius is a Compliance Consultant at Regulatory Compliance. Ms. Bockius conducts examinations of broker-dealer offices and provides support to the examination team in completing special projects. Ms. Bockius spent the previous 30 years in a variety of sales, marketing and compliance roles for broker-dealers, most recently as a Regional Compliance Manager and Branch Office Examiner for a national broker-dealer and investment adviser. In this latest role, Joy was responsible for overseeing the compliance with firm and regulatory requirements, including the review of outside business activities and private securities transactions, investigations related to customer complaints, the review of personal securities trading and the examination of a variety of high producing OSJs, branch offices and unregistered locations. Over her career, Ms. Bockius has completed thousands of broker-dealer or investment adviser office examinations. She has also conducted numerous compliance presentation and annual meetings, reviewed and assisted in the resolution of customer complaints and assisted in the development and maintenance of compliance manuals for broker-dealers, OSJ managers and branch offices. She received her MBA from Plymouth State University and holds both the CFP® and CLU/ChFC® professional designations.
Previously held series licenses 6, 7, 24, 63 and 65
Ed has over thirty years of experience in the financial services industry since starting at the SEC after law school. In his role as Compliance Consultant, Ed will be responsible for conducting examinations of broker-dealer home and branch offices, AML testing and Rule 3120 testing. He will also assist with investment adviser examinations and testing and provide the full range of compliance consulting services as needed. Ed has served as the CCO and General Counsel for a number of broker- dealers and investment advisers where he was responsible for all aspects of their compliance programs and the supervision of registered staff. Recently, Ed has operated a consulting practice providing branch office examination services to broker-dealers and investment advisers across the country. Ed was previously a Sr. Vice President and CCO for Genworth Financial’s broker-dealer and investment adviser channel. Ed has served on two FINRA district committees and as Chairman of several other industry committees.
Collin O’Bryant serves as a compliance consultant for NCS Regulatory Compliance. In this capacity, Mr. O’Bryant conducts examinations and testing of investment advisors, broker-dealers and branch offices. Previously, he was a Senior Branch Examiner for a large, national dually registered broker-dealer/investment advisor ﬁrm where he led examination teams and conducted branch office examinations. Prior to joining that ﬁrm, Mr. O’Bryant was a Securities Compliance Examiner for the SEC, where he conducted examinations of advisory ﬁrms and investment companies. He was also previously a Senior Compliance Examiner with FINRA and a Financial Examiner with the Texas State Securities Board. Mr. O’Bryant received his B.B.A. in Finance from Saint Edwards University.
Previously held series licenses 7 and 66
Mr. Rees serves as a Compliance Consultant for NCS Regulatory Compliance. In this capacity, Ryan will conduct examinations of broker-dealer branch offices. Previously, Ryan was a Regulatory Coordinator for FINRA in their NY District Office. While there he oversaw, reviewed, and performed surveillance of the submission of FOCUS and audit filings of FINRA member firms. He also prepared strategy risk reports to assist team members in conducting FINRA examinations. Prior to FINRA, Ryan served as a branch examiner for a dual broker-dealer and investment advisor firm and was the lead trainer for new branch examiners. Ryan has experience in conducting examinations for the broker-dealer independent model which also included examinations for branch offices that were located in financial banking institutions. Ryan received his B.A. in Mathematics from Texas State University.
Previously held series licenses 7, 24, and 66
Karen HaganSales Directorkh@regulatorycompliance.com
Ms. Hagan joined Regulatory Compliance in 1998 to assist with marketing efforts to broker-dealers and registered investment advisers, and has been instrumental in the phenomenal growth the firm has realized since that time. She currently manages a sales team of three, with a focus on every state in the U.S., as well as internationally. She is also directly responsible for the registered investment adviser sales efforts at the firm, maintaining client relations and serving on the management team.
Richard HorganVice President, Sales Directorrh@regulatorycompliance.com
Mr. Horgan contacts and follows up with prospective broker-dealer and investment adviser clients and assists with their compliance needs.
Marcy KalatSales Directormkalat@regulatorycompliance.com
Ms. Kalat has been a trusted adviser partnering with investment adviser, broker-dealer, private fund manager and Investment company firms in recognizing and developing consulting services that meet their regulatory needs. Having spent much of her professional career in the financial services industry, she is knowledgeable in all areas of market-leading solutions for enterprise Governance, Risk and Compliance (GRC) management, enterprise risk management, policy management, audit management, regulatory intelligence, financial crime, anti-bribery and corruption, supply chain risk, enhanced due diligence, training and e-learning. Her background in consultative sales and relationship development has brought her to be an integral part of the Regulatory Compliance sales team.
Kristen HargreavesOperations Coordinatorkmh@regulatorycompliance.com
Ms. Hargreaves works directly with staff on day-to-day operations and works closely with each team to ensure clients’ expectations are met. She works with the Operations Manager on marketing campaigns, ongoing projects and client communications. Ms. Hargreaves also assists with various compliance tasks, and has worked with clients on CRD/IARD filings, manual customizations, and various compliance requests and research.
Wendy McCarthyExecutive Assistantwm@regulatorycompliance.com
Ms. McCarthy is the executive assistant to the Regulatory Compliance president and handles senior administrative needs in the office.
Dawn MintonFinancial Analystdminton@regulatorycompliance.com
Ms. Minton is responsible for general financial accounting, bookkeeping and analysis activities and oversight/appraisal of financial procedures and records for the Company.
Derrick MathewsIT Managerdmathews@regulatorycompliance.com
With more than 15 years’ experience managing the IT environments for various firms, Mr. Mathews is responsible for the firm’s IT strategy and operations. His responsibilities at Regulatory Compliance as Manager of Information Technology include infrastructure management, data security, business continuity, solution architecture, software development, business intelligence, project management, and overseeing all IT operations in the firm.
Rob GelinasIT System Administratorrgelinas@regulatorycompliance.com
As the IT System Administrator Mr. Gelinas is responsible for operation, installation/configuration, and maintenance of systems hardware and software as well as other related infrastructure. He also supports the internal IT Helpdesk providing maintenance of the computer desktop environments and resolving problems.