Rayma A. Christy is a Compliance Consultant with RRS who specializes in AML program development and testing, branch office inspections, and general compliance matters for broker-dealers and investment advisors. Her regulatory compliance experience includes testing AML programs for broker-dealers, fund distributors, and mutual funds as well as branch office inspections, customer account and transaction analysis, and reviewing business continuity plans for FINRA compliance. Ms. Christy has also assisted in broker-dealer churning analysis and retail bank broker-dealer branch inspections, and assisted our investment advisor clients with SEC/State registrations and advertising reviews.
Ms. Christy joined RRS in April 2010 and currently works from the RRS’ Rhode Island office. She has over ten years of professional and administrative experience that includes accounting, creation of policies and procedures, investigations, fraud analysis, data analysis, supervisory roles, and team building. She has a bachelor’s degree in Criminal Justice from Florida Atlantic University (“FAU”) and is currently enrolled in FAU’s Forensic Accounting Master program. She is a member of the National Society of Compliance Professionals (“NSCP”), Association of Certified Fraud Examiners (“ACFE”), and the Association of Certified Anti-Money Laundering Specialists (“ACAMS”) and holds the ACAMS designation as a Certified Anti-Money Laundering Specialist.
(401) 849-3182
RaymaChristy@RRSCompliance.com