Amy Lynch Email and Phone Number
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Amy Lynch personal email
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Leading FrontLine Compliance as its Founder and President, my mission is to deliver client-centric regulatory solutions tailored to the unique needs of investment advisors, broker-dealers, and other financial entities. Our approach is rooted in a deep understanding of the ever-evolving compliance landscape, where my team and I thrive on creating innovative strategies that resonate with our diverse clientele across the nation.With an established reputation for regulatory expertise, my contributions to the industry extend beyond consulting, frequently providing insights at conferences and to the media. At the heart of my professional drive is the commitment to empower organizations with the knowledge and tools to excel within their regulatory frameworks, ensuring they achieve and maintain compliance with confidence.
Frontline Compliance
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Founder And PresidentFrontline Compliance Jan 2006 - PresentRockville, Md, UsAs the Founder and President of FrontLine Compliance, LLC ("FrontLine"), I oversee the day-to-day activities of the firm and supervise client projects. FrontLine is a full-service independent compliance consulting firm specializing in investment adviser, broker-dealer, hedge fund, mutual fund, and insurance product compliance. We are headquartered in the D.C. metro area and have clients throughout the country. We are regulatory experts and business leaders that offer you a customized, client-centric experience. We understand that there is no "one size fits all" compliance solution. We help you find the right answer- for YOU.
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Special InvestigatorFinra Nov 2003 - Nov 2005Washington, District Of Columbia, UsManaged several industry wide broker-dealer regulatory sweeps for NASD Enforcement during 2004-2005. Led the Variable Annuity Sweep; Hedge Fund Sweep; and Fairness Opinion Review Sweep. Discovered new areas of regulatory review and enforcement investigations as part of the Preliminary Review Group. Member of the Variable Annuity Task Force. Co-authored Investor Alerts for public dissemination. Provided training to NASD staff on variable product compliance issues. -
Chief Compliance OfficerE*Trade Financial Jul 2002 - Sep 2003UsCCO of online advisory unit; Compliance Officer to E*Trade Securities. Responsible for all compliance activities for online advisory business. Performed branch office audits for E*Trade Securities and conducted special compliance projects as needed for Global Compliance. Experience and responsibility spanned the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, as well as NASD and state regulations. -
Director Of ComplianceMercantile Capital Advisors, Inc. Dec 2000 - Jun 2002Created complete compliance program for start-up advisory affiliate of Mercantile Bank. Took firm through registration process and built the compliance program for the $8 billion mutual fund manager. Worked closely with corporate bank executives and its private banking units as well as its newly registered broker-dealer affiliate in creating a compliance program to fit the bank's current business model and future needs.
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Staff AccountantU.S. Securities And Exchange Commission Mar 1995 - May 2000Washington, Dc, UsLead, supervised regulatory examinations of investment companies, investment advisers, and insurance company affiliates. In charge of Variable Insurance Products inspection program for OCIE (Office of Compliance, Inspections & Examinations). Trained other examiners in both formal and in-formal settings. Represented the SEC as as speaker at insurance industry events.
Amy Lynch Skills
Amy Lynch Education Details
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The Wharton SchoolSecurities Regulations -
Towson UniversityDouble Major- Business And Economics
Frequently Asked Questions about Amy Lynch
What company does Amy Lynch work for?
Amy Lynch works for Frontline Compliance
What is Amy Lynch's role at the current company?
Amy Lynch's current role is Founder and President @ FrontLine Compliance | Certified Regulatory Compliance Professional.
What is Amy Lynch's email address?
Amy Lynch's email address is al****@****nce.com
What is Amy Lynch's direct phone number?
Amy Lynch's direct phone number is +170351*****
What schools did Amy Lynch attend?
Amy Lynch attended The Wharton School, Towson University.
What skills is Amy Lynch known for?
Amy Lynch has skills like Securities, Finra, Mutual Funds, Hedge Funds, Financial Services, Investments, Alternative Investments, Securities Regulation, Sec, Equities, Investment Advisory, Asset Management.
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