Stephanie Richards Email & Phone Number

Boca

Responsible for providing compliance solutions including annual compliance reviews, anti-money laundering independent testing, supervisory control risk assessments, fraud investigations, and customized compliance or product reviews. Also assists clients with broker-dealer and investment adviser registration with FINRA, the states, and the Securities and Exchange Commission.

Boca Raton, Fl

Highly experienced FINRA Regulatory Compliance Professional and Risk Analyst with 10 years of experience in Operational, Regulatory, Compliance, Audits, and Business Process Control Reviews. Advanced knowledge and understanding of financial markets, industry regulations and compliance requirements, as well as securities industry systems, operations, controls and processes with proven record of exceeding performance expectations. Strong foundation of ethics and high degree of integrity. Key member of the risk management team, working closely with all stakeholders and business leaders at all levels of the organization as a highly respected advisor. Exceptional communication and analytical skills with keen attention to detail. Consistently identify and resolve emerging compliance risks upholding the highest standards of regulatory compliance while ensuring client satisfaction. Superior ability to drive standardization, engage in complex problem solving and implement process improvement initiatives in rapidly changing environments.

Bachelor Of Arts Degree In Criminal Justice

Minor in Sociology and Women Studies

Undergraduate Work Completed