Shawn Bostic
Shawn is Assistant Vice-President of Regulatory Compliance for Kestra Financial. Shawn is primarily responsible for overseeing Regulatory Requests, Exams, Customer Complaints, Policies, and Annual Compliance Requirements. Shawn began her career in the early ’90s with Dain Rauscher in Dallas, Texas. Since then, she has spent the next 20 years as a compliance professional for mutual fund companies, consulting firms, and various broker-dealers before joining Kestra in September 2019. She holds a Doctorate in Management and a Master’s Degree in Public Administration. She was awarded a distinguished advanced studies scholarship for her presentation at Cambridge University on the challenges of self-regulation within the financial services industry. Shawn’s articles on compliance have been published both in the US and internationally. She continues her research pursuits within the study of leadership and behavioral compliance.