Lauren Epstein is the Director of Business Development for RRS. Lauren has over thirty years of industry compliance experience that includes managing, supervising, and advising FINRA-licensed registered representatives, investment adviser representatives, and supervisory and management personnel on internal policies and procedures and federal, state, and self-regulatory rules and regulations. Lauren’s professional experience is defined by progressive promotions in a large international bank/US broker-dealer including:
- Training and support to advisors;
- Supervising branches and branch management teams;
- Providing regional control and oversight to branch clusters and;
- Exercising supervision over domestic and international business.
Her experience as a Regional Compliance Officer (“RCO”) in a large full service financial services institution provides a solid foundation to leverage her compliance background and understanding of the needs of the business side of the financial industry when identifying solutions for our clients. She served as the lead Compliance trainer and contact for her region, which involved conducting in-branch Legal & Compliance presentations, risk reviews with complex and branch management teams, providing training to new Complex and Regional Directors, and devising implementation methods for significant Compliance and regulatory initiatives.
Lauren has worked and interacted with all levels of employees from branch support staff to senior management as well as regulatory attorneys on a wide range of issues and cases. As an RCO, her responsibilities also included conducting investigations and interviews, providing advice on disciplinary actions, heightened supervision plans, internal policy reviews, recommendations on corrective action and remediation steps for branch audit findings, onsite assessment and education and surveillance issues. Special projects included reviews of remote locations, single security concentrations, new hire monitoring, and the development of new financial advisor training.
Lauren has held the Series 7, Series 8, Series 3, Series 66 and Life/Health & Variable licenses. She is currently studying for the Certified Securities Compliance Professional (CSCP) credential from the National Society of Compliance Professionals.