Bob Lavigne
Bob is currently the Chief Compliance Officer of Edelman Financial Engines, a Registered Investment Advisor with nearly $250 billion in assets under management. With over 20 years of experience as a CCO, regulator, and consultant, he has worked with investment advisors, broker-dealers, insurance companies and private fund organizations of all sizes navigate complex issues.
Bob tackles issues relating to supervision, compliance, risk management, financial regulations, internal audit and operations. Previously, he was a Director for Kaufman Rossin, and the Managing Director and Practice Leader for Bates Compliance where he led the group in assisting clients with regulatory and compliance needs, practice management and strategic planning. He also worked for PwC, where he helped build the Broker-Dealer Regulatory Practice. Additionally, Bob was the Chief Compliance Officer of a registered investment adviser and broker-dealer, in charge of all aspects of compliance, risk management, forensic and annual testing and anti-money laundering. Bob has also worked as a senior examiner at the Boston district office of FINRA.