Amy’s industry expert status encompasses her 20+ years in the regulatory compliance field. As Founder and President, Amy oversees all firm activities and provides oversight for client projects.
She began her distinguished career conducting examinations for the SEC. Working in both the New York and Washington, DC offices, Amy examined mutual funds, investment advisers, and insurance firms nationwide. As a Special Investigator with FINRA, Amy specialized in heightened regulatory issues confronting the securities industry. She managed several industry-wide sweeps conducted by FINRA Enforcement. In the private sector, she has served as DOC and CCO for Mercantile Capital Advisors and E*Trade Financial. As Vice President at RegEd.com, she developed a leading branch-audit software program.
Amy is recognized as an expert on regulatory issues involving investment adviser and broker-dealer compliance, insurance products, mutual funds, and private funds. She was one of the first graduates of the FINRA Institute/Wharton School Certification Program and holds the Certified Regulatory Compliance Professional (CRCP) designation in addition to her B.S. in Business and Economics.
Amy is a regular presenter at conferences and webinars for leading media and event groups, explaining topics as diverse as investment adviser compliance, product compliance and supervision, fund compliance, valuation, advertising, and CCO effectiveness. She is an active member of several industry groups, including Ellevate, Women in Funds (WIF), 100 Women in Finance (100WF), the National Society of Compliance Professionals (NSCP) and the Institute of Management Consultants USA (IMC USA).