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@frontlinecompliance.com
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4 phones found area 703 and 301
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LinkedIn matched
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Amy Lynch is listed as Founder and President @ FrontLine Compliance | Certified Regulatory Compliance Professional at FrontLine Compliance, based in Rockville, Maryland, United States. AeroLeads shows a work email signal at frontlinecompliance.com, phone signal with area code 703, 301, and a matched LinkedIn profile for Amy Lynch.
Amy Lynch previously worked as Founder and President at Frontline Compliance and Special Investigator at Finra. Amy Lynch holds Certified Regulatory Compliance Professional, Wharton School/Finra Institute, Securities Regulations from The Wharton School.
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AeroLeads found 1 current-domain work email signal for Amy Lynch. Compare company email patterns before reaching out.
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.
Listed skills include Securities, Finra, Mutual Funds, Hedge Funds, and 46 others.
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Rockville, MD, US
As 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.
Washington, District Of Columbia, US
Managed 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.
US
CCO 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.
Created 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.
Washington, DC, US
Lead, 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.
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Amy Lynch works for FrontLine Compliance.
Amy Lynch is listed as Founder and President @ FrontLine Compliance | Certified Regulatory Compliance Professional at FrontLine Compliance.
AeroLeads has found 1 work email signal at @frontlinecompliance.com for Amy Lynch at FrontLine Compliance.
AeroLeads has found 4 phone signal(s) with area code 703, 301 for Amy Lynch at FrontLine Compliance.
Amy Lynch is based in Rockville, Maryland, United States while working with FrontLine Compliance.
Amy Lynch has worked for Frontline Compliance, Finra, E*Trade Financial, Mercantile Capital Advisors, Inc., and U.S. Securities And Exchange Commission.
You can use AeroLeads to view verified contact signals for Amy Lynch at FrontLine Compliance, including work email, phone, and LinkedIn data when available.
Amy Lynch holds Certified Regulatory Compliance Professional, Wharton School/Finra Institute, Securities Regulations from The Wharton School.
Amy Lynch is listed with skills including Securities, Finra, Mutual Funds, Hedge Funds, Financial Services, Investments, Alternative Investments, and Securities Regulation.
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