Harry Chaffee is the Director of Financial Reporting and Compliance Support Services for Renaissance
Regulatory Services, Inc., a full service-consulting firm that offers a wide range of regulatory and compliance
consulting services to broker-dealers and registered investment advisers. Mr. Chaffee has over eighteen
years of regulatory and industry compliance experience managing, advising and auditing broker-dealers,
investment advisers, banks and bank holding companies relative to federal, state, and self-regulatory rules and
regulations.
In the industry, Mr. Chaffee has experience as the chief compliance officer of a mid-size broker-dealer,
investment adviser, futures broker and insurance agency; and as a compliance officer at a regional wire-
house. As the CCO, Mr. Chaffee was responsible for the development and ongoing application of the
compliance program including policies and procedures, supervision, the branch audit program and
coordination of contact with regulators. In addition, Mr. Chaffee was involved with product due diligence, errors
and omissions insurance negotiations and directing outside counsel. Mr. Chaffee conducted annual
compliance meetings and managed the compliance and licensing staff.
As a regulator, Mr. Chaffee has experience with the National Association of Securities Dealers (NASD, now
FINRA) and the Federal Reserve Bank of Atlanta. As an examiner with the NASD, Mr. Chaffee was responsible
for conducting financial, operational and sales practice examinations of broker-dealers. As a capital markets
specialist with the Federal Reserve, Mr. Chaffee was responsible for the examination and ongoing surveillance
of capital markets, trading, and asset/liability management activities in large southeastern financial institutions,
and evaluated interest rate risk modeling, investments, funding, and management of interest rate risk and
liquidity.
As a consultant, Mr. Chaffee has advised firms on issues related to supervisory and compliance policies,
procedures, surveillance, regulatory interaction, licensing and training. Mr. Chaffee has supervised the
preparation of financial statements and regulatory reports for over 100 broker-dealers.
Mr. Chaffee received a BBA in Finance from Florida Atlantic University. He holds the Chartered Financial
Analyst (CFA) designation through the CFA Institute where he currently serves as a member of the
Disciplinary Review Committee. He also holds the Certificate in Investment Performance Measurement
(CIPM) designation through the CIPM Association and the Certified Securities Compliance Professional
(CSCP) credential from the National Society of Compliance Professionals. Mr. Chaffee was previously a
member of the Financial Services Institute’s Compliance Council.
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