Over 20 years of experience in banking, insurance, and securities regulated markets. Ann served in multiple roles throughout her career as Senior Compliance Officer, Licensing and Registration Manager, Principal Review, and Manager of the Surveillance Department. While in these roles Ann lead projects implementing technology to automate various compliance functions including Trade Surveillance and Supervision, AML Surveillance, Licensing and Registration, Annual Compliance Meetings, Gifts and Entertainment Disclosures, Outside Business Activity Disclosures, Outside Account Questionnaires and Firm Element In addition to her various roles within the industry Ann was SVP, Business Development, at RegEd where Ann was responsible for growing revenue, profit, and customer satisfaction. Ann was chartered with enhancing existing products and helping to develop new products and services based on market needs and the ever changing regulatory environment.
Ann holds a Bachelor of Science degree from Samford University and Masters of Business Administration degree from the University of Alabama at Birmingham. She also holds Series 7, 66, 24, 14 licenses, a California Insurance License and is a Certified Regulatory Compliance Manager (CRCM) and holds a Securities & Insurance Licensing Association Fellow (SILA-F) designation.