Nancy is a Senior Compliance Consultant where she is focused on creating a true culture of compliance for the firms she partners with. She assists firms by developing and implementing best practices, providing tools and resources and creating a firm’s policies and procedures.
Oftentimes, she works side by side with a firm’s Chief Compliance Officers to assist with preparing for exams and throughout the exam process. Additionally, she applies her expertise in all facets of compliance ranging from initial SEC registrations to further tailoring a compliance program for more established firms.
Nancy brings over 20 years of industry experience with a concentrated focus on regulatory compliance. Prior to joining Compliance Resource Partners, she managed the office operations and served as the Chief Compliance Officer of an Investment Banking licensed broker-dealer where she was responsible for the supervision of the registered representatives including the correspondence review and AML training. Previous to that, she served as Chief Compliance Officer at a Registered Investment Advisor primarily focused on advising Pension Plans. Her operational background enables her to apply a unique lens into consulting about the day-to-day processes and procedures of a regulated environment.
Nancy received her Bachelor’s Degree in Finance from Seattle University. She holds her Series 7, 66 and 24 licenses. She is dedicated to serving her community and actively volunteers in her children’s school. She has also served as a President of Junior Ambassadors for Seeds of Hope and was a member of the Young Arrupe Philanthropists. When she is not in the office, she enjoys spending time with her husband and three children, cooking and cheering her kids on from the sidelines.
Get in Touch
303-797-0550 Ext. 2