Annual Virtual Event

Michael Cocanower

Chief Executive Officer - itSynergy

Kelly A. Smith

Compliance Consultant - Comply

Kelly Smith serves as a Compliance Consultant at COMPLY, where she provides consulting services on a variety of regulatory and compliance issues. She specializes in conducting on-site compliance reviews, risk assessments, and drafting policies and procedures for investment advisors. Kelly joined COMPLY in 2024, bringing with her a wealth of knowledge from her decades-long tenure in the financial services industry. Before joining COMPLY, Kelly spent over 10 years and held various roles within a large-sized wealth management firm in Cleveland, where she initially worked in financial planning before advancing to the position of Chief Compliance Officer. Her extensive background equips her with a deep understanding of regulatory requirements and CCO responsibilities.Prior to gaining her compliance experience, Kelly worked as a senior financial planner and a tax preparer/planner. Kelly's credentials include the Certified Financial Planner™ (CFP®) designation and is a Certified Investment Adviser Certified Compliance Professional® (IACCP®). Additionally, she holds multiple FINRA securities licenses and an Ohio life insurance license. Her diverse skill set and industry expertise make her an invaluable asset in navigating compliance landscapes.

Michael McGrath

Partner - Dechert LLP

Michael W. McGrath is a partner in Dechert’s financial services practice. Resident in the firm’s Boston office, he focuses on advising global asset managers in the formation and operation of investment funds, regulatory compliance, and securities and commodities law across a wide range of asset classes and fund structures.

Mr. McGrath has significant experience advising asset managers on regulatory and transactional matters, including the formation and operation of private equity funds, hedge funds, real estate funds, credit funds, separate accounts and mutual funds. In addition, he frequently works with investment advisers, broker-dealers and commodity trading advisers on regulatory compliance, examinations, the development of novel investment products, and the implementation of strategic transactions.

Mr. McGrath also regularly advises investment managers and broker-dealers on marketing, advertising and fundraising issues, including compliance with the Global Investment Performance Standards (GIPS®), across all major asset classes and distribution channels. He also has extensive experience assisting clients in the development and implementation of business operations and compliance programs that reconcile U.S. and non-U.S. regulatory requirements.

Mr. McGrath has been recognized as a leading lawyer for investment funds: regulatory & compliance, and for mutual funds and hedge funds by Chambers USA. The most recent edition notes that “His ability to solve complex problems is impressive.” In past editions, clients stated that “Mike is client-oriented and has a great understanding of the industry. He is an excellent lawyer, he provides timely and practical advice on a variety of issues” and that he is “very knowledgeable, smart and a great communicator,” “responsive and provides clear, business-forward guidance.” In addition, Mr. McGrath has been listed in Best Lawyers in America for Private Funds / Hedge Funds and Derivatives & Future Law.

An active member of the investment management legal community, Mr. McGrath is a frequent author and speaker on the practical application of securities laws across the asset management industry. He is also a CFA charterholder, as well as a member of the CFA Institute’s U.S. Investment Performance Committee.

Charity Dembofsky

Compliance Consultant - Comply

Charity Dembofsky joined COMPLY in February 2022. Prior to her work as a dedicated and results-driven Sr. Compliance Consultant, Charity served as the head of compliance for an SEC registered investment adviser with over $4 billion in assets under management. Supervising close to 100 employees there, Charity was responsible for the design, implementation and communication for all areas of compliance, including firm policies and adherence to federal and state regulations.With a proven ability to navigate complex regulatory environments, mitigate risks and develop and implement effective compliance strategies, Charity helps clients implement comprehensive regulatory compliance, risk management and corporate governance programs. Adept at collaborating with cross-functional teams and providing tailored solutions to drive business success, Charity helps clients achieve compliance with confidence. Charity holds a Bachelors degree from the University of North Carolina at Charlotte.

Alison Cooley

Senior Director of Product Marketing - Comply

.

David Bliss

Chief Product Officer - Comply

David Bliss joined the company in 2023 as chief product officer, leading the product management and user experience teams. David focuses on driving customer- and market-centric, outside-in product strategies to build innovative roadmaps and drive growth. Prior to COMPLY, David held multiple leadership roles in the software space, including as the chief product officer at Calero, VP of product at CCC Intelligent Solutions, senior consultant at PwC and leader of the product marketing team at Accuity. David earned his MBA from Northwestern University and his Bachelor of Arts from the University of Illinois.

Mederic Daigneault

Senior Vice President, Regulatory Services - Comply

Med Daigneault is an experienced attorney, thought leader, industry author, and Senior Vice President, Regulatory Services at COMPLY. He has deep expertise in fiduciary principles and a demonstrated track record of successful collaboration with clients. Over more than two decades, Med has worked closely with investment management firms to help them identify and understand applicable regulatory obligations, risk, and best industry practices, and to assist in the design, implementation, and testing of effective supervisory structures and tailored compliance programs.Med has conducted on-site mock SEC examinations and compliance reviews for a range of firms, from large, global investment managers to boutique advisers. His expertise includes risk assessments, annual reviews, marketing, custody, cybersecurity, insider trading, third-party due diligence, best execution, and business continuity planning, among other areas. He has drafted or revised Form ADV disclosures for hundreds of investment advisers at both the state and federal levels.Previously, Med practiced law as shareholder in the Financial Services Regulatory group of a large national law firm, advising financial institutions, including investment advisers, asset aggregators, broker-dealers, and dual registrants on regulatory compliance matters. Before law school, he worked as an Annuity Account Manager at Travelers Life & Annuity Co., holding a Series 6 license.A frequent speaker at industry conferences, Med has contributed to leading financial publications and authored The Core: Practical Advisers Act Compliance for the Private Fund Adviser. He was also a contributing author and Editorial Board Member for Modern Compliance, Best Practices for Securities & Finance, Vol. II.Med holds a J.D. from Boston College Law School and is admitted to the Connecticut and New York bars. He graduated Phi Beta Kappa from Wesleyan University.

Jamila Mayfield

Chief Regulatory Services Officer - Comply

Jamila Mayfield joined COMPLY in 2024 as the Chief Regulatory Services Officer, leading COMPLY’s consulting services arm. With her extensive regulatory experience, which spans over 20 years, Jamila will drive the strategic growth of the global consulting and education organization. Additionally, she will work cross-functionally with product, sales, and marketing to integrate COMPLY’s expert services into the COMPLY platform, delivering true end-to-end compliance program management solutions for financial services organizations.Prior to her role at COMPLY, Jamila was the Founder and Chief Executive Officer of The Jamila Mayfield Group, LLC, where she provided consulting services on compliance, risk, regulatory, and internal audit matters to financial services clients. Previously, Jamila held various positions at Ernst and Young LLP (EY), including Partner, where she led 100+ professionals advising top-tier clients in wealth and asset management, private equity, hedge fund, capital markets, banking, and insurance. Notably, Jamila served as Assistant Regional Director at the U.S. Securities and Exchange Commission (SEC), leading teams as an expert adviser and senior leadership official for the SEC Division of Examinations. In earlier SEC roles as Senior Strategic Risk Coordinator and Securities Compliance Examiner at SEC, she planned and performed complex examinations of investment advisers, mutual funds, broker-dealers, private equity advisers, hedge fund advisers, transfer agents, and other industry participants to maintain the integrity of national securities markets. Jamila holds a Master of Business Administration with a concentration in Asset Management from Yale University, a Master of Accountancy from the University of Virginia, and a Bachelor of Science in Accounting from Florida A&M University. She is a Certified Public Accountant (CPA) with active licenses in the States of New York, North Carolina, and Georgia, as well as a Certified Fraud Examiner (CFE) and Certified in Financial Forensics (CFF).

A. Valerie Mirko

Partner & Leader, Securities Regulation and Litigation Practice - Armstrong Teasdale LLP

John Walsh

Partner - Eversheds Sutherland (US) LLP

John is a Partner in Sutherland’s Business Practices Group and a member of the Securities Enforcement and Litigation Team. As a 23-year veteran of the Securities and Exchange Commission (SEC), John played a key role in creating the Office of Compliance Inspections and Examinations (OCIE), which administers examinations of the nation’s registered entities, including broker-dealers, investment managers, funds, self-regulatory organizations, and others.

Prior to this, John was Special Counsel to former SEC Chairman Arthur Levitt and worked in the SEC’s Division of Enforcement, serving first as Senior Counsel and then as Chief of the Branch of Regional Office Assistance. John began his career with the SEC in 1988 as an attorney in the Office of General Counsel.
 
John is a Certified Fraud Examiner and a recognized author on securities regulation and compliance.

Ronak Patel

Principal - Bressler Amery & Ross

Tom Coonan

Compliance Consultant - Comply

Tom Coonan joined National Regulatory Services (NRS), which is now COMPLY, in 2011 bringing with him 25 years of securities industry experience. During his 25 years in the industry Tom worked as a Compliance Officer and Supervising Principal for broker/dealers, Investment Advisers and Investment Companies. His experience both in the industry and since joining NRS has had Tom involved in many aspects of Compliance including FINRA Rule 3120 reviews, branch inspection programs, annual AML Audits, MSRB reviews, E-mail review, Advertising review and annual Investment Adviser reviews. Tom is a Consultant in Investment Adviser and Broker Dealer Services. Tom provides consulting services on a wide variety of regulatory issues regarding the Investment Advisers Act, FINRA Rules, MSRB Rules and other federal and state regulations, as applicable, and conducts on-site client compliance reviews. Tom works with firms in the preparation and submission of amendments to Form ADV. He also regularly reviews both broker/dealer and investment adviser advertising to provide guidance based on FINRA & SEC rules. During his years in the industry, Tom held a number of licenses and registrations including the Series 4, 7, 24, 53, 66 & California Life Insurance License. 

Jeffrey Blumberg

Partner - Faegre Drinker Biddle & Reath LLP

John Van Der Wal

Senior Director, Compliance Advisory - Comply

John M. Van Der Wal brings over 20 years of compliance and industry related experience to COMPLY (f/k/a NRS). Prior to joining NRS in 2014, John was president and founder of Compliance Advisory Services, LLC for 12 years, providing compliance consulting services to registered investment advisors and broker-dealers. He has worked in a variety of securities and investment related environments, including financial services, asset management and consulting. John also spent 3 years with FINRA, conducting reviews and oversight of member firms from its San Francisco District Office.John earned his undergraduate degree from the University of California at Davis, received an MBA from the University of San Francisco and holds the designation of Investment Adviser Certified Compliance Professional.

Laura Frattaroli

Vice President, Deputy Chief Compliance Officer, and Regulatory & Corporate Counsel - General Atlantic

Mederic Daigneault

Senior Vice President, Regulatory Services - Comply

Med Daigneault is an experienced attorney, thought leader, industry author, and Senior Vice President, Regulatory Services at COMPLY. He has deep expertise in fiduciary principles and a demonstrated track record of successful collaboration with clients. Over more than two decades, Med has worked closely with investment management firms to help them identify and understand applicable regulatory obligations, risk, and best industry practices, and to assist in the design, implementation, and testing of effective supervisory structures and tailored compliance programs.Med has conducted on-site mock SEC examinations and compliance reviews for a range of firms, from large, global investment managers to boutique advisers. His expertise includes risk assessments, annual reviews, marketing, custody, cybersecurity, insider trading, third-party due diligence, best execution, and business continuity planning, among other areas. He has drafted or revised Form ADV disclosures for hundreds of investment advisers at both the state and federal levels.Previously, Med practiced law as shareholder in the Financial Services Regulatory group of a large national law firm, advising financial institutions, including investment advisers, asset aggregators, broker-dealers, and dual registrants on regulatory compliance matters. Before law school, he worked as an Annuity Account Manager at Travelers Life & Annuity Co., holding a Series 6 license.A frequent speaker at industry conferences, Med has contributed to leading financial publications and authored The Core: Practical Advisers Act Compliance for the Private Fund Adviser. He was also a contributing author and Editorial Board Member for Modern Compliance, Best Practices for Securities & Finance, Vol. II.Med holds a J.D. from Boston College Law School and is admitted to the Connecticut and New York bars. He graduated Phi Beta Kappa from Wesleyan University.

Lawrence Stadulis

Partner - Stradley Ronon Stevens & Young LLP

Dorothy Podzemny

Director, Comprehensive Consulting Services - Comply

Dorothy Podzemny is a seasoned compliance professional with over 13 years of expertise in navigating complex regulatory landscapes, particularly within the financial sector. She currently serves as the Director of Comprehensive Services for Comply. Previously serving as Chief Compliance Officer and Vice President of an advisory firm, Dorothy led the development of robust compliance programs, conducted risk assessments, and ensured regulatory adherence for private real estate offerings.Her career highlights include six years as Director of Compliance at RIA in a Box, where she championed regulatory strategies, monitored risk, identified instances of non-compliance, and cultivated strong client relationships. Prior to that, Dorothy honed her auditing and evaluative skills as a Financial Examiner at the Texas State Securities Board for nearly seven years, working closely with financial advisors to uphold regulatory integrity.Dorothy holds a bachelor’s degree from Texas State University which complements her keen eye for detail and strategic planning. Driven, results-focused, and an exceptional communicator, she is passionate about fostering cultures of compliance and excellence.

Stuart Evans

Chief Compliance Officer - The Mather Group

Karen Quill

Compliance Consultant - Comply

.

Michael Stanton

Chief Executive Officer - Comply

Michael J. Stanton is the Chief Executive Officer at COMPLY, a global market leader in regulatory compliance solutions.Michael assumed the role of CEO in April 2024 and is responsible for all day-to-day operations. He joined COMPLY from FTV Capital where he served as an operating advisor, counseling a range of FinTech and B2B SaaS businesses. Michael previously served as Executive Vice President & Chief Financial Officer at Diligent Corporation, a leading GRC software-as-a-service (SaaS) company providing solutions across governance, risk, and compliance.Before his role at Diligent, Michael served as Senior Vice President, Corporate Finance & Treasurer at Blackboard Inc., the world’s largest educational SaaS provider at the time – playing a pivotal role in that company’s IPO and subsequent sale to private equity.Michael’s expertise in SaaS, financial strategy, and operational management has been recognized through media profiles and coverage in notable outlets such as the Associated Press, Bloomberg, CNBC, Forbes, and The Washington Post.Michael is active in a range of corporate, non-profit and philanthropic organizations as an advisor as well as board member. Michael received his bachelor’s degree from the College of the Holy Cross. He currently resides in Arlington, Virginia, with his wife and four children.

John Van Der Wal

Senior Director, Compliance Advisory - Comply

John M. Van Der Wal brings over 20 years of compliance and industry related experience to COMPLY (f/k/a NRS). Prior to joining NRS in 2014, John was president and founder of Compliance Advisory Services, LLC for 12 years, providing compliance consulting services to registered investment advisors and broker-dealers. He has worked in a variety of securities and investment related environments, including financial services, asset management and consulting. John also spent 3 years with FINRA, conducting reviews and oversight of member firms from its San Francisco District Office.John earned his undergraduate degree from the University of California at Davis, received an MBA from the University of San Francisco and holds the designation of Investment Adviser Certified Compliance Professional.

Karen Aavik

Managing Director, Privacy Compliance & Investment - Webster Bank

Karen Aavik is the Managing Director – Privacy Compliance and Investment Services for Webster Bank. In this role she is responsible for overseeing the development, implementation, monitoring, and continuous improvement of the bank-wide Privacy Program. Ms. Aavik also provides oversight of, and support for, the third-party retail broker-dealer/investment advisor function, helping to ensure compliance with OCC and other relevant requirements through the development and maintenance of a robust retail nondeposit investment products program. Prior to this role she was the Head of Ethics, Privacy & Investments Compliance for Flagstar Bank, N.A. where she developed, implemented, enhanced, and oversaw the Ethics, Privacy, Investments, and Anti-Bribery & Corruption Programs. Other previous roles include serving as the Director of Data Privacy at Bank OZK, the Chief Compliance Officer of Stratos Wealth Partners, an Enterprise Risk Officer at Wells Fargo, and a Compliance Executive with KeyBank, N.A.

Ms. Aavik holds a J.D., LL.M. with Honors and M.B.A. from SUNY at Buffalo and is a member of the New York State Bar. She has the CCEP, CFE, CAMS, CGSS, and IACCP designations, and earned the CIPP/US, CIPP/E, CIPT, and CIPM privacy credentials. Ms. Aavik has contributed to articles regarding cybersecurity requirements within the investment industry and authored the “Compliance in a Bank Investment Program Environment” chapter for Modern Compliance: Best Practices for Securities & Finance (Vol. 2). She was featured in the January 2018 edition of Compliance & Ethics Professional Magazine, and currently serves as an Editorial Board Member for the Journal of Financial Compliance.

Ms. Aavik holds a J.D., LL.M. with Honors and M.B.A. from SUNY at Buffalo and is a member of the New York State Bar. She has the CCEP, CFE, CAMS, CGSS, and IACCP designations, and earned the CIPP/US, CIPP/E, CIPT, and CIPM privacy credentials. Ms. Aavik has contributed to articles regarding cybersecurity requirements within the investment industry and authored the “Compliance in a Bank Investment Program Environment” chapter for Modern Compliance: Best Practices for Securities & Finance (Vol. 2). She was featured in the January 2018 edition of Compliance & Ethics Professional Magazine, and currently serves as an Editorial Board Member for the Journal of Financial Compliance.
Ms. Aavik holds a J.D., LL.M. with Honors and M.B.A. from SUNY at Buffalo and is a member of the New York State Bar. She has the CCEP, CFE, CAMS, CGSS, and IACCP designations; earned the CIPP/US, CIPP/E, CIPT, and CIPM privacy credentials; and was FINRA Series 4, 7, 24, 53, and 63 licensed. Ms. Aavik has contributed to articles regarding cybersecurity requirements within the investment industry and authored the “Compliance in a Bank Investment Program Environment” chapter for Modern Compliance: Best Practices for Securities & Finance (Vol. 2). She was featured in the January 2018 edition of Compliance & Ethics Professional Magazine, and currently serves as an Editorial Board Member for the Journal of Financial Compliance.

Jessica Thayer

Senior Vice President - Starkweather & Shepley

Amber Tatman

Senior Director, Compliance Advisory - Comply

Amber joined NRS in 2014 as a Consultant in Investment Adviser and Broker-Dealer Services and has over 25 years of wide-ranging industry experience. She provides consulting services on a variety of regulatory issues and delivers comprehensive compliance solutions to investment advisers and broker-dealers in the US and UK. Amber has a B.A. in Economics from Vanderbilt University, a J.D. from Indiana University’s Robert H. McKinney School of Law, and is a member of the Indiana state bar. She holds the CLU®, ChFC®, and CFP® designations as well as the Certified Regulatory and Compliance Professional (CRCP™) designation from the Wharton School’s FINRA Institute. She regularly speaks at conferences and webinars and writes on topics related to the financial industry.

Jonathan Forman

Partner & Co-Leader, Financial Services Regulatory - Baker & Hostetler LLP

Max Mejiborsky

Vice President, Compliance Services & Executive Consultant - Comply

Max joined COMPLY in September 2007 as a Consultant for the Investment Adviser Services Department. Over the years, Max has worked closely with advisory clients to prepare and file their registration documents, provided consulting services on a variety of compliance issues, and conducted various client compliance program reviews, annual reviews and mock audits.As Vice President and Executive Consultant Max currently provides comprehensive compliance solutions, advice and education to a wide variety of investment advisers.  He contributes to subject matter thought leadership through authorship in industry publications, white papers and comment letters, as well as participation in a variety of industry speaking engagements and conferences.  Max mentors other consultants in subject matter expertise, client service excellence and leads special projects and quality control initiatives.Prior to joining COMPLY, Max worked as a corporate attorney for the Boston law firm of Choate, Hall & Stewart.  Max is licensed to practice law in the Commonwealth of Massachusetts and received his law degree, cum laude, from Boston College Law School. He graduated Phi Beta Kappa, summa cum laude, from Tufts University with a Bachelor of Arts degree in International Relations and Eastern European Studies. 

Steven Yadegari

Chief Executive Officer - Fisolve

Ann Hauerland

Vice President, Regulatory Affairs - Comply

Ann Hauerland is Vice President of Regulatory Affairs at Comply, where she leads regulatory operations and partners across the organization to ensure investment advisers receive expert guidance on regulatory filings and regulatory support. With more than 15 years of experience in securities regulation, Ann brings deep expertise and a client-first approach to her work.

Ann began her career at the Texas State Securities Board (TSSB), where she registered hundreds of investment adviser firms, broker-dealers, and securities offerings, and collaborated across divisions on investigations and enforcement matters. She joined Comply in 2014 as Director of Registration, helping hundreds of entrepreneurs establish and grow their advisory firms while contributing to the company’s industry leadership and growth.

She earned her BBA in Management from Texas State University’s McCoy College of Business in 2010 and her MBA from Baylor University’s Hankamer School of Business in 2021. Ann lives in the Austin area with her husband and two young children

Ted McCutcheon

Founder and Principal - Securities Law Counsel PLLC

Ish Manzaneres

Vice President, Advisory Consulting Services - Comply

Ish joined NRS in 2009 and is based in our San Diego office. Annually, Ish conducts dozens of risk reviews, compliance program assessments, annual compliance reviews and mock SEC-examinations to assist broker-dealers, transfer agents and clearing firms in identifying regulatory deficiencies, internal control weaknesses, and effectively mitigate compliance and operational risks. Prior to joining NRS, Ish was the President of Manzanares Compliance Solutions, an independently owned consulting firm. Preceding his consulting career, Ish was Director of Compliance with Prudential Retirement. In addition, Ish was the President and CEO of Madison Avenue Securities, a full-service broker dealer and advisor located in San Diego. Earlier in his career, Ish served as President of Foresters Equity Services, a San Diego based broker-dealer. Prior to being appointed as President at Foresters, he served as Chief Compliance Officer. He has over 25 years of experience in the financial services industry, including a position with FINRA as a Senior Examiner in Los Angeles. He served as the Chief Compliance Officer for Kennedy Cabot and Co. During his career, Ish has been a guest speaker at various industry events such as FINRA, LIMRA and NAIBD conferences and special programs and an instructor at the FINRA Institute for the Wharton Certificate Program. Ish holds a B.A. in psychology from Columbia University and maintains his series 4, 7, 24, 63.

Larry Nakamura

Chief Compliance Leader - CF Compliance Consulting Group LLC

Larry Nakamura, IACCP, is the Chief Compliance Leader of CF Compliance Consulting Group (CCG), a subsidiary of Carlton Fields P.A. His work focuses on finding and creating customized solutions to complex compliance and operational challenges aligned to client’s core business values. 

Prior to joining CCG, he was the Chief Compliance Officer and vice president of Corient Private Wealth LLC (CORIENT) and CCO of several subsidiary registrants. He has over 30 years of experience in the financial services industry, with many senior management-level positions in operations and compliance. 

He co-founded Nexa Technologies, Inc., where he helped design a multi-lingual direct-access trading platform and risk management compliance systems for high-frequency traders. 

Mr. Nakamura is an IACCP® designee with a PFP professional designation from the University of California, Los Angeles Extension. Larry has previously held the NASD (FINRA) Series 4, 7, 24, 55 and insurance licenses.

Charity Dembofsky

Compliance Consultant - Comply

Charity Dembofsky joined COMPLY in February 2022. Prior to her work as a dedicated and results-driven Sr. Compliance Consultant, Charity served as the head of compliance for an SEC registered investment adviser with over $4 billion in assets under management. Supervising close to 100 employees there, Charity was responsible for the design, implementation and communication for all areas of compliance, including firm policies and adherence to federal and state regulations.With a proven ability to navigate complex regulatory environments, mitigate risks and develop and implement effective compliance strategies, Charity helps clients implement comprehensive regulatory compliance, risk management and corporate governance programs. Adept at collaborating with cross-functional teams and providing tailored solutions to drive business success, Charity helps clients achieve compliance with confidence. Charity holds a Bachelors degree from the University of North Carolina at Charlotte.

Kevin Turton

Deputy Chief Compliance Officer - OneDigital

Megan Essig

Compliance Consultant - Comply

Megan Essig joined COMPLY in April 2024. Prior to their work as a dedicated and results-driven Compliance Consultant, Megan was an Associate Director with Foreside where she focused on conducting 206(4)-7 annual reviews for RIA clients as well as AML, 3110, and 3120 testing for broker-dealer clients. Megan also has experience as a Compliance Officer for Registered Investment Advisers.With a proven ability to navigate complex regulatory environments, mitigate risks, and develop effective compliance strategies, Megan has helped hundreds of clients to implement comprehensive regulatory compliance programs. Adept at collaborating with cross-functional teams and providing tailored solutions to drive business success, Megan helps clients achieve compliance with confidence.Megan holds a Bachelor of Science in Business Administration degree from Western New England College.

Anne Buckley

President - Saro Partners Co.

Anne Buckley is the Chief Compliance Officer at Palladium Capital Advisors, LLC. Anne also is the President of her Compliance Consulting Company – Saro Partners.

Anne has over 30 years of experience in the legal and compliance area for financial service companies.   She has held the positions of Chief Operating Officer, Chief Compliance Officer and AML Officer for FINRA member broker-dealers and SEC registered Investment Advisors.  Anne has been supporting throughout her career the compliance initiatives of a select group of SEC registered Investment Advisors, private equity firms, investment management advisors and broker-dealers.  She began her securities career with the Massachusetts Securities Division and the Boston office of the NASD, now FINRA. 

Anne holds a J.D. from New England School of Law and a B.A. from the University of Massachusetts and is a member of the Massachusetts Bar.  She has attained her IACCP designation and completed the FINRA Institute at Wharton Certified Regulatory and Compliance Professional (CRCP) program, as well as holding her Series 4, 7, 24, 27, 79, 87 and 99.  Anne participates frequently as a presenter for IACCP courses as well as at various industry compliance conferences.  

Kelly A. Smith

Compliance Consultant - Comply

Kelly Smith serves as a Compliance Consultant at COMPLY, where she provides consulting services on a variety of regulatory and compliance issues. She specializes in conducting on-site compliance reviews, risk assessments, and drafting policies and procedures for investment advisors. Kelly joined COMPLY in 2024, bringing with her a wealth of knowledge from her decades-long tenure in the financial services industry. Before joining COMPLY, Kelly spent over 10 years and held various roles within a large-sized wealth management firm in Cleveland, where she initially worked in financial planning before advancing to the position of Chief Compliance Officer. Her extensive background equips her with a deep understanding of regulatory requirements and CCO responsibilities.Prior to gaining her compliance experience, Kelly worked as a senior financial planner and a tax preparer/planner. Kelly's credentials include the Certified Financial Planner™ (CFP®) designation and is a Certified Investment Adviser Certified Compliance Professional® (IACCP®). Additionally, she holds multiple FINRA securities licenses and an Ohio life insurance license. Her diverse skill set and industry expertise make her an invaluable asset in navigating compliance landscapes.

Alison Cooley

Senior Director of Product Marketing - Comply

.

David Bliss

Chief Product Officer - Comply

David Bliss joined the company in 2023 as chief product officer, leading the product management and user experience teams. David focuses on driving customer- and market-centric, outside-in product strategies to build innovative roadmaps and drive growth. Prior to COMPLY, David held multiple leadership roles in the software space, including as the chief product officer at Calero, VP of product at CCC Intelligent Solutions, senior consultant at PwC and leader of the product marketing team at Accuity. David earned his MBA from Northwestern University and his Bachelor of Arts from the University of Illinois.

Alexander Ryan

Partner, Executive Compensation & Employee Benefit - Willkie, Farr & Gallagher LLP

Alex leads the ERISA fiduciary practice group at Willkie Farr & Gallagher LLP in Washington, DC.  His practice focuses on the intersection of ERISA and asset management.  He represents investment advisers, investment fund managers, broker-dealers, banks, insurance companies, and other financial services providers with respect to their obligations under ERISA and the Internal Revenue Code in connection with products and services for ERISA investors and IRAs.

Dorothy Podzemny

Director, Comprehensive Consulting Services - Comply

Dorothy Podzemny is a seasoned compliance professional with over 13 years of expertise in navigating complex regulatory landscapes, particularly within the financial sector. She currently serves as the Director of Comprehensive Services for Comply. Previously serving as Chief Compliance Officer and Vice President of an advisory firm, Dorothy led the development of robust compliance programs, conducted risk assessments, and ensured regulatory adherence for private real estate offerings.Her career highlights include six years as Director of Compliance at RIA in a Box, where she championed regulatory strategies, monitored risk, identified instances of non-compliance, and cultivated strong client relationships. Prior to that, Dorothy honed her auditing and evaluative skills as a Financial Examiner at the Texas State Securities Board for nearly seven years, working closely with financial advisors to uphold regulatory integrity.Dorothy holds a bachelor’s degree from Texas State University which complements her keen eye for detail and strategic planning. Driven, results-focused, and an exceptional communicator, she is passionate about fostering cultures of compliance and excellence.

Alison Cooley

Senior Director of Product Marketing - Comply

.

David Bliss

Chief Product Officer - Comply

David Bliss joined the company in 2023 as chief product officer, leading the product management and user experience teams. David focuses on driving customer- and market-centric, outside-in product strategies to build innovative roadmaps and drive growth. Prior to COMPLY, David held multiple leadership roles in the software space, including as the chief product officer at Calero, VP of product at CCC Intelligent Solutions, senior consultant at PwC and leader of the product marketing team at Accuity. David earned his MBA from Northwestern University and his Bachelor of Arts from the University of Illinois.

Larry Nakamura

Chief Compliance Leader - CF Compliance Consulting Group LLC

Larry Nakamura, IACCP, is the Chief Compliance Leader of CF Compliance Consulting Group (CCG), a subsidiary of Carlton Fields P.A. His work focuses on finding and creating customized solutions to complex compliance and operational challenges aligned to client’s core business values. 

Prior to joining CCG, he was the Chief Compliance Officer and vice president of Corient Private Wealth LLC (CORIENT) and CCO of several subsidiary registrants. He has over 30 years of experience in the financial services industry, with many senior management-level positions in operations and compliance. 

He co-founded Nexa Technologies, Inc., where he helped design a multi-lingual direct-access trading platform and risk management compliance systems for high-frequency traders. 

Mr. Nakamura is an IACCP® designee with a PFP professional designation from the University of California, Los Angeles Extension. Larry has previously held the NASD (FINRA) Series 4, 7, 24, 55 and insurance licenses.

Dean Conway

Shareholder - Carlton Fields

Dean Conway is a seasoned regulatory and trial lawyer with more than two decades of experience in complex securities enforcement, litigation, and regulatory compliance. While serving as an assistant chief litigation counsel at the U.S. Securities and Exchange Commission, Dean first-chaired all aspects of high-profile enforcement actions that encompassed the entire scope of the Division of Enforcement’s program, including public company disclosure, accounting and internal controls violations, investment advisers, broker-dealers, insider trading, cybersecurity, and unregistered offerings involving crypto assets.

During his tenure, Dean appeared as lead trial counsel in federal court and administrative proceedings nationwide. His enforcement experience includes numerous parallel criminal investigations with multiple U.S. criminal authorities, including the U.S. Attorney’s Office for the Southern District of New York, cross-border investigations with international regulators such as the United Kingdom’s Financial Conduct Authority (FCA) and the Australian Securities and Investments Commission (ASIC), state securities regulators such as the New Hampshire Bureau of Securities Regulation and the Massachusetts Securities Division, and self-regulatory organizations.

He also advised on investigative strategy, charging decisions, and litigation risk, including providing pre-filing guidance to the SEC’s Asset Management Unit in matters arising under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. In addition, Dean advised on enforcement matters and regulatory policy while serving on the executive staff as counsel to an SEC commissioner.

Mederic Daigneault

Senior Vice President, Regulatory Services - Comply

Med Daigneault is an experienced attorney, thought leader, industry author, and Senior Vice President, Regulatory Services at COMPLY. He has deep expertise in fiduciary principles and a demonstrated track record of successful collaboration with clients. Over more than two decades, Med has worked closely with investment management firms to help them identify and understand applicable regulatory obligations, risk, and best industry practices, and to assist in the design, implementation, and testing of effective supervisory structures and tailored compliance programs.Med has conducted on-site mock SEC examinations and compliance reviews for a range of firms, from large, global investment managers to boutique advisers. His expertise includes risk assessments, annual reviews, marketing, custody, cybersecurity, insider trading, third-party due diligence, best execution, and business continuity planning, among other areas. He has drafted or revised Form ADV disclosures for hundreds of investment advisers at both the state and federal levels.Previously, Med practiced law as shareholder in the Financial Services Regulatory group of a large national law firm, advising financial institutions, including investment advisers, asset aggregators, broker-dealers, and dual registrants on regulatory compliance matters. Before law school, he worked as an Annuity Account Manager at Travelers Life & Annuity Co., holding a Series 6 license.A frequent speaker at industry conferences, Med has contributed to leading financial publications and authored The Core: Practical Advisers Act Compliance for the Private Fund Adviser. He was also a contributing author and Editorial Board Member for Modern Compliance, Best Practices for Securities & Finance, Vol. II.Med holds a J.D. from Boston College Law School and is admitted to the Connecticut and New York bars. He graduated Phi Beta Kappa from Wesleyan University.

Pablo Man

Partner - K&L Gates LLP

Pablo Man is a partner in K&L Gates LLP’s Asset Management and Investment Funds practice. Pablo represents primarily investment advisers, registered closed-end funds (including tender offer and interval funds), and private funds (including exchange funds, hedge funds, and funds of one). Pablo focuses his practice on regulatory matters relating to the Investment Advisers Act of 1940. He counsels investment advisers with respect to registration (including “status” questions), regulation and reporting, SEC examinations, and adviser mergers and acquisitions. Among other things, Pablo routinely advises investment advisers on regulatory and compliance matters relating to custody, recordkeeping (including electronic records), trading, principal and cross-transactions, best execution, performance advertising, fiduciary duty and conflicts. He also has a significant practice counseling clients with respect to “wrap” and model portfolio programs. Pablo also has substantial experience with the formation of pooled investment vehicles both registered and exempt from registration under the Investment Company Act of 1940.

Max Mejiborsky

Vice President, Compliance Services & Executive Consultant - Comply

Max joined COMPLY in September 2007 as a Consultant for the Investment Adviser Services Department. Over the years, Max has worked closely with advisory clients to prepare and file their registration documents, provided consulting services on a variety of compliance issues, and conducted various client compliance program reviews, annual reviews and mock audits.As Vice President and Executive Consultant Max currently provides comprehensive compliance solutions, advice and education to a wide variety of investment advisers.  He contributes to subject matter thought leadership through authorship in industry publications, white papers and comment letters, as well as participation in a variety of industry speaking engagements and conferences.  Max mentors other consultants in subject matter expertise, client service excellence and leads special projects and quality control initiatives.Prior to joining COMPLY, Max worked as a corporate attorney for the Boston law firm of Choate, Hall & Stewart.  Max is licensed to practice law in the Commonwealth of Massachusetts and received his law degree, cum laude, from Boston College Law School. He graduated Phi Beta Kappa, summa cum laude, from Tufts University with a Bachelor of Arts degree in International Relations and Eastern European Studies. 

Steven Trigili

Chief Compliance Officer - Garden State Securities, Inc.

Steven D. Trigili, MBA, CAMS is the Chief Compliance Officer of Garden State Securities, Inc., and Garden State Investment Advisory Services, LLC, a regional, independent broker/dealer and SEC-registered investment advisor. Presently serving his second term to the FINRA North Region Committee, Steve has 30 years of experience in financial services and is responsible for the oversight of all regulatory exams, customer disputes, risk assessments, compliance testing, and AML policies and procedures within the firm. A recurring speaker and panelist at national industry conferences and webinars for 20 years, Steve also provides independent consulting and expert witness services for securities arbitrations and litigation matters.

Steve holds his Series 7, 24, 55, 63, 65 and 79, is an adjunct professor of business at Southern New Hampshire University Graduate School of Business, and a professor of business at Ocean County College in Toms River, NJ and Bloomfield College of New Jersey. He serves on the Editorial Board of the Journal of Financial Compliance, is a member of the National Society of Compliance Professionals, the Association of Certified Fraud Examiners, and the Society of Corporate Compliance and Ethics.

Nicole Del Rosario

Senior Consultant - Comply

Nicole Del Rosario has been in the financial services industry for over 15 years. She joined NRS as a Consultant and is based in Northern Virginia. As a Consultant she conducts examinations, audits and program reviews. Prior to joining NRS Nicole was a Director of Compliance and Anti-Money Laundering Officer at a broker dealer, investment adviser and insurance company. Nicole has a wide range of experience from operations to trading to Compliance.  Nicole has held her Series 7, 24, 4, 66 licenses as well as her Life and Health Insurance Licenses. Currently she holds the Investment Adviser Certified Compliance Professional designation (IACCP®) and the Certified Anti-Money Laundering Specialist designation (CAMS).

Michael Rasmussen

The GRC Pundit & Analyst - GRC 20/20 Research & The GRC Report

Sanjay Lamba

Associate General Counsel - Investment Adviser Association

Jessica Rice

Senior Compliance Officer - Bridgewater Associates, LP

Jessica Rice joined Bridgewater in 2014 and currently serves as the Senior Compliance Officer responsible for oversight of the firm’s Ethics Practice Area. This Practice Area is responsible for designing, maintaining, and enforcing Bridgewater’s Code of Ethics policy and much of the underlying program. The area covers employee personal activity and ensures compliance with Rule 204A-1 under the Advisers Act and Rule 17j-1 under the Investment Company Act of 1940. The team is primarily responsible for Compliance onboarding, training, the administration of Bridgewater’s conflicts of interest program, personal trading program, testing, certifications, and the underlying violations processes, as well as management over, and evolution of, Bridgewater’s Compliance Platform.

Prior to joining Bridgewater’s regulatory team, Jessica spent 2 years within the Legal and Regulatory group overseeing third party contracting processes. She began her career, prior to joining Bridgewater, at a boutique family law firm specializing in complex matrimonial matters. Jessica graduated with honors from Quinnipiac University in 2009, after studying Psychology and Legal Studies. In 2015, she was recognized by Fairfield County Business Journal, Westchester County Business Journal, and WAG magazine for her dedication and impact in her communities at Westfair Communications first Milli Awards. In 2023, Comply named Jessica as Compliance Innovator of the Year at its second annual ComplyConnect Awards honoring dedicated and innovative compliance professionals in the financial services industry. Jessica regularly participates in panels and guest lectures on Compliance related topics, and in her free time, serves on the Advocates for Public Policy Committee of the New York Junior League. 

Craig Watanabe

Director of IA Compliance - Diversify Advisory Services, LLC

Mr. Watanabe has been a Financial Adviser and the Director of IA Compliance at DFPG Investments, LLC / Diversify Advisory Services, LLC. (“DFPG/DAS”) since April 2018. Mr. Watanabe entered the securities industry in 1983 and has been a successful financial planner, Branch Manager, Operations Manager, Chief Compliance Officer and Chief Operating Officer. Mr. Watanabe has broker-dealer and investment adviser compliance experience covering retail brokerage, market making, research, investment banking. insurance, commodities, retail investment advisory and ERISA plans.

In his current role as a financial adviser with DFPG/DAS, Mr. Watanabe works with clients to assist in growing and protecting their assets and planning to meet their financial objectives.

Mr. Watanabe served on the FINRA District 2 Committee from 2008-11 and was Chairman of the Committee in 2011.  He also served six years on the NSCP Board of Directors and was Chairman of the Board in 2013.  In 2020 Mr. Watanabe was the recipient of the NSCP Joan Hinchman Award for lifetime dedication to the compliance profession.  Mr. Watanabe is a frequent speaker at conferences and has authored numerous articles and training modules for financial professionals.

Steven Yadegari

Chief Executive Officer - Fisolve

A. Valerie Mirko

Partner & Leader, Securities Regulation and Litigation Practice - Armstrong Teasdale LLP

Nicole Del Rosario

Senior Consultant - Comply

Nicole Del Rosario has been in the financial services industry for over 15 years. She joined NRS as a Consultant and is based in Northern Virginia. As a Consultant she conducts examinations, audits and program reviews. Prior to joining NRS Nicole was a Director of Compliance and Anti-Money Laundering Officer at a broker dealer, investment adviser and insurance company. Nicole has a wide range of experience from operations to trading to Compliance.  Nicole has held her Series 7, 24, 4, 66 licenses as well as her Life and Health Insurance Licenses. Currently she holds the Investment Adviser Certified Compliance Professional designation (IACCP®) and the Certified Anti-Money Laundering Specialist designation (CAMS).

Tiffany Magri

Regulatory Compliance Advisor - Smarsh

John Van Der Wal

Senior Director, Compliance Advisory - Comply

John M. Van Der Wal brings over 20 years of compliance and industry related experience to COMPLY (f/k/a NRS). Prior to joining NRS in 2014, John was president and founder of Compliance Advisory Services, LLC for 12 years, providing compliance consulting services to registered investment advisors and broker-dealers. He has worked in a variety of securities and investment related environments, including financial services, asset management and consulting. John also spent 3 years with FINRA, conducting reviews and oversight of member firms from its San Francisco District Office.John earned his undergraduate degree from the University of California at Davis, received an MBA from the University of San Francisco and holds the designation of Investment Adviser Certified Compliance Professional.