Casey Dougherty Email & Phone Number

Seattle, Wa, Us

Seattle, Wa

Work with consulting and legal teams to help clients accomplish their goals, in complex financial services situations.

Seattle

Serve as outsourced Chief Compliance Officer for one Broker Dealer (“BD”) and two Registered Investment Advisers (“RIAs”), simultaneously. In addition, provide project-based consulting for several clients conducting FINRA 3120 or SEC 206(4)-7 annual reviews, review and re-write of WSPs, ADV brochures, disclosures and miscellaneous compliance documentation. I provide ongoing risk management guidance to other Chief Compliance Officers during a BD and RIA acquisition, help with change management… Show more Serve as outsourced Chief Compliance Officer for one Broker Dealer (“BD”) and two Registered Investment Advisers (“RIAs”), simultaneously. In addition, provide project-based consulting for several clients conducting FINRA 3120 or SEC 206(4)-7 annual reviews, review and re-write of WSPs, ADV brochures, disclosures and miscellaneous compliance documentation. I provide ongoing risk management guidance to other Chief Compliance Officers during a BD and RIA acquisition, help with change management, develop and deliver regulatorily required training and assured compliance during a hedge fund wind down process. I completed a comprehensive compliance program review for a BD and RIA, screened new compliance software for regulatorily required disclosures and function, streamlined supervisory procedures, and provided transition support for Rep onboarding. Show less

Seattle, Washington, United States

"Heaving to" or being "hove to" has its origins in the early days of sail when crews used the technique to safely ride out strong winds, heavy rain and high seas. Once hove to, the turbulence created by the intentional drift of the boat decreases the sea’s aggressiveness, the pounding motion is reduced and the boat does not heel as much and feels much more comfortable.Being hove to has many uses – it allows teams to take a break, ride out a storm, or wait for a change in situation. Hove… Show more "Heaving to" or being "hove to" has its origins in the early days of sail when crews used the technique to safely ride out strong winds, heavy rain and high seas. Once hove to, the turbulence created by the intentional drift of the boat decreases the sea’s aggressiveness, the pounding motion is reduced and the boat does not heel as much and feels much more comfortable.Being hove to has many uses – it allows teams to take a break, ride out a storm, or wait for a change in situation. Hove To, LLC offers these same benefits and support through consulting arrangements to financial services companies and small businesses. Call on us to provide assistance for your team to allow them to take a breath, tackle a “storm” or work with them on heading in a new direction. Show less

United States

Served as Chief Compliance and Risk Officer for 3 divisions of M Financial Group, including two Broker Dealers (“BDs”) (over 1,200 representatives) and two Registered Investment Advisers (“RIAs”). Remotely managed a geographically diverse team for one of the US’ leading insurance distribution companies for ultra-high net worth individuals. Executed BD to BD joint work arrangements, and other marketing arrangements covering private placement life insurance, VUL and annuity sales. In addition to… Show more Served as Chief Compliance and Risk Officer for 3 divisions of M Financial Group, including two Broker Dealers (“BDs”) (over 1,200 representatives) and two Registered Investment Advisers (“RIAs”). Remotely managed a geographically diverse team for one of the US’ leading insurance distribution companies for ultra-high net worth individuals. Executed BD to BD joint work arrangements, and other marketing arrangements covering private placement life insurance, VUL and annuity sales. In addition to standard compliance responsibilities, cybersecurity, and leading the AML team, I assisted in product development, change management, contract review, legal response and strategic regulatory positioning. Show less

Greater Seattle Area

Oversaw compliance and legal supervision for an $18 billion Broker Dealer/Registered Investment Advisor/General Insurance Agent with 80 staff and 350 independent contractor representatives in over 25 states. Coordinated with executive leadership and shared-service management to balance company goals, long-term strategic direction, risk mitigation, compliance and reputation. Set, managed, and communicated policies to recruit, train and retain representatives. Worked with industry regulators on… Show more Oversaw compliance and legal supervision for an $18 billion Broker Dealer/Registered Investment Advisor/General Insurance Agent with 80 staff and 350 independent contractor representatives in over 25 states. Coordinated with executive leadership and shared-service management to balance company goals, long-term strategic direction, risk mitigation, compliance and reputation. Set, managed, and communicated policies to recruit, train and retain representatives. Worked with industry regulators on city, state, and federal levels. Strategized with external counsel on case management. Developed due diligence processes related to onboarding and review of products, services, and partners. Other responsibilities included drafting and reviewing contracts, coordinating complaint and audit response, risk assessment and reporting, and HR policy review and employee issue management. Promotion from Chief Compliance Officer to Chief Compliance Officer and Chief Legal Officer in July 2018. Show less

Greater Seattle Area

Managed the firm’s compliance and insurance staff. Worked with the CCO to draft compliance and insurance policies and procedures, consistent with FINRA, SEC, ERISA and state regulations, to balance minimizing firm risk while preserving rep and client investment options. Drafted legal correspondence and responded to regulator, client inquiries, and audits.

Greater Seattle Area

Conducted regional branch exams. Screened for fraud and errors in advisor’s documentation. Interpreted industry regulations to develop and implement firm policies and procedures.

Greater Seattle Area

Helped representatives choose suitable client products. Evaluated accuracy of incoming business. Screened client correspondence and advertising for errors and fraud. Developed Adobe Acrobat receptive documents for online use. Edited and maintained an online technical manual. Developed business strategies within the insurance and advisory department.

Seattle, Washington, United States

Created business plan, logos, brochures, and marketing strategy for online outdoor equipment retailer. Researched software systems for webdesign, accounting, shipping, webhosting, and financial services. Negotiated agreements with suppliers, filled customer orders, and incorporated company. Managed day-to-day operations and strategy.

Bellevue, Washington, United States

Helped clients clarify long-term personal and financial goals. Reviewed each client’s financial situation, educated clients on financial planning tools available and recommended suitable portfolio modifications and products.

Kirkland, Washington, United States

Responsible for employee management, job assignments, customer relations, contract negotiations, and acting as an event photographer when on assignment.

J.D., Law

M.B.A., International Business And Law

Bachelor'S Degree, Business Administration And Management, General