Mary Johnston, Cscp®, Iaccp® Email & Phone Number

Atlanta Metropolitan Area

Aventura, Florida, United States

• With more than $10BN in assets under management, a unique research-driven process and advanced, proprietary technology, CV’s multidisciplinary team provides a highly customized single-family office approach to building.
• Transformed and imbued firm’s culture of compliance and "Tone at the Top" through relationship-centric, communication-driven leadership
• Diligently remained abreast of all regulatory developments, new regulations, best practices, and timely incorporated same into firm’s regulatory compliance program
• Developed, maintained, and administered policies & procedures to help ensure compliance with relevant securities laws and the rules promulgated thereunder including the Securities Act of 1933, Securities Exchange Act.
• Timely and accurately filed Form ADV Parts 1A, 2A, 3 (Form CRS), Form PF, Form 13F, and Form D
• Maintained and distributed Form ADV Part 2B and regularly performed Form 13H, 13D, and 13G testing

Aventura, Florida, United States

Naples, Florida Area

• CCO for $3.5 billion in AUM boutique investment management firm owned by Louis A. Simpson, internationally renowned value investing guru.
• Designed and maintained rigorous compliance program including 206(4)-7 policies & procedures, regulatory disclosures and filings, surveillance, and forensic testing
• Instituted vulnerability assessments, penetration testing, and prompt remediation of potential security issues
• Coordinated annual mock regulatory examinations and performed annual compliance reviews
• Performed extensive third-party and vendor due diligence reviews

Tampa/St. Petersburg, Florida Area

• Chief Compliance Officer of dually-registered RIA with over $11 billion in assets under advisement as of March 2012.
• Implemented forensic testing procedures to proactively reduce instances of non-compliance with established policies and guidelines
• Initiated email surveillance practices to further firm's commitment to early detection of potential violations
• Identified and remediated critical technological and security gaps
• Implemented major enhancements to business continuity and disaster recovery plan, dramatically increasing firm's ability to quickly recover from a wide variety of business interruptions
• Designed comprehensive insurance/risk management program, eliminating a number of significant gaps

Bachelor Of Science (Bs) In Business Administration, Cum Laude

Securities Compliance Advanced Certificate (C.A.S.), Certified Securities Compliance Professional (Cscp®) Program

Investment Adviser Certified Compliance Professional (Iaccp®) Program