Assistant Director, Division of Enforcement, Fort Worth office

U.S. Securities & Exchange Commission

National Technology Controls Program Acting Director

U.S. Securities & Exchange Commission

Manger, Thought Leadership Customer Success Risk Strategies

ACA Group

Chief Compliance Officer

Patient Square Capital

Senior Vice President, Enforcement Legal

FINRA

Chief Compliance Officer

Berthel Fisher & Co Financial Services Inc

Assistant Vice President, Advisory Compliance

Cambridge

Global Chief Compliance Officer and Assoc. General Counsel

Goldentree Asset Management

Senior Director, Membership Application Program (MAP)

FINRA

Chief Compliance Officer

Denali Advisors, LLC

Global Head of Regulatory Compliance

ACA

Chief Compliance Officer

Steward Partners

Examination Director in Capital Markets and Investment Banking

FINRA

Senior Director, Risk Monitoring

FINRA

Compliance Manager; Head of Regulatory Reporting & Advisory Support

The Vanguard Group, Inc

Partner

Sidley Austin LLP

Strategic Risk Advisor

Saifr

Chief Compliance Officer

Strategic Investment Advisors

Head of Compliance

TBD, a subsidiary of Block, Inc.

Director, Compliance -Advertising and Communications

Cambridge Investment Research, Inc

General Counsel and VP of Compliance

Theta Lake

Global Chief Compliance Officer

Morningstar

Senior Director and Chief Compliance Officer

Robinhood Financial, LLC

Chief Compliance Officer

Merit Financial Advisors

Chief Compliance Officer

Office of the NYC Comptroller - Bureau of Asset Management

Assistant General Counsel

Commonwealth Financial Network

Regulatory SME

Independent Consultant

Chief Compliance Officer

Diversity Advisor Network

Partner

Quinn Emanuel Urquhart & Sullivan LLP

General Counsel

ImpactAssets, Inc.