Shannon Fitzgerald

Founder & Managing Director

Regulatory Ridge, LLC

Shannon Fitzgerald is a current member of NSCP’s Board of Directors. She is also the Founder and Managing Director of  Regulatory Ridge, LLC , a regulatory consulting firm. Ms. Fitzgerald has over 15 years of experience in the securities industry, having worked for or with alternative trading systems, banks, broker-dealers, investment advisors, municipal advisors, and self-regulatory organizations. Ms. Fitzgerald counsels clients on a wide variety of matters, including annual compliance and supervision reviews, anti-money laundering independent tests, contract preparation and review, corporate governance, membership registrations, policies and procedure development, regulatory examinations, operational risk management, rule interpretation, and trading and execution obligations. Prior to founding Regulatory Ridge, LLC, Ms. Fitzgerald was the Assistant General Counsel at Direct Edge, a BATS Global Markets Company. Before that, Ms. Fitzgerald worked at RBC Capital Markets in the Law, Compliance, and Regulatory Risk Departments. Ms. Fitzgerald previously worked at FINRA in both the Enforcement and Member Regulation Departments. Ms. Fitzgerald earned a Juris Doctor from Seton Hall University School of Law, and a Bachelor of Arts from Rutgers, The State University of New Jersey. She is a member of the American Bar Association and the New Jersey State Bar Association. Ms. Fitzgerald maintains her Certified Anti-Money Laundering Specialist (CAMS) Certification, and formerly held the Series 7, 24 and 55 licenses.

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