Amy Lynch


President & Founder

FrontLine Compliance


Amy Lynch has over 25 years’ experience in the financial industry, including 20 plus years in the regulatory compliance field. She began her compliance career with the SEC’s Office of Compliance Inspections & Examinations, working in both the New York and Washington, DC offices. At the SEC, she was responsible for conducting examinations of mutual funds, investment advisers, and insurance firms nationwide. From there she moved into the private sector where she served as DOC and CCO for firms such as Mercantile Capital Advisors, Inc. (a bank affiliated investment adviser) and E*TRADE Financial, and was Vice President at RegEd.com, where she developed a leading branch audit software program. Ms. Lynch later returned to the regulatory side with the FINRA (formerly NASD) in Washington, DC. There she specialized in heightened regulatory issues confronting the securities industry and was responsible for managing several industry wide “sweeps” conducted by FINRA’s Enforcement Department. During her distinguished career, Ms. Lynch has been recognized as an expert on a number of high profile regulatory issues involving investment adviser and broker-dealer compliance, variable insurance products, mutual funds, hedge funds and CCO effectiveness. Ms. Lynch 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. Ms. Lynch has been a frequent speaker at industry conferences sponsored by such organizations as the Securities Industry and Financial Markets Association (SIFMA), Investment Company Institute (ICI), Managed Funds Association (MFA), ALI-ABA and Insured Retirement Institute (IRI). She has also presented at conferences and webinars for media and event groups including Institutional Investor, BD Week, Financial Advisor, IA Watch and Financial Research Associates. She has spoken on a variety of regulatory topics such as investment adviser compliance, variable product compliance, soft dollars, mutual fund compliance, insider trading, valuation, advertising, electronic communications and auditing. Ms. Lynch is an active member of several industry groups, including Ellevate, 100 Women in Hedge Funds (100WHF), the National Society of Compliance Professionals (NSCP) and the Institute of Management Consultants USA (IMC USA).


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