Trish Flynn
Patricia (“Trish”) Flynn is Vice President, Chief Compliance Officer for PGIM Portfolio Advisory. Ms. Flynn is an accomplished risk and compliance executive with extensive experience in the financial services industry. She has broad knowledge of audit and financial oversight, global securities regulations, risk management principles and practices. Ms. Flynn has over 25 years of compliance and regulatory experience and spent over 11 years with the SEC, initially as a securities compliance examiner and later as a branch chief and Assistant Regional Director for the Miami Regional Office. Ms. Flynn is a Certified Public Accountant and has a Bachelor’s degree in Accounting from the University of South Florida. Ms. Flynn completed the NASD Institute-Wharton Certificate Program in 2002 and is a Certified Regulatory and Compliance Professional. She is a former board member of the National Society of Compliance Professionals, holds the CSCP designation and was the 2018 recipient of NSCP’s JH Compliance Excellence Award Recipient.
3b. ALL - Supervision & Compliance of Off-Channel Communications (Intermediate - OPEN)