Sarah Vigneron is a Compliance Consultant for Renaissance Regulatory Services, a full service-consulting firm that offers a wide range of regulatory and compliance consulting services to broker-dealers and registered investment advisers. Sarah has over 25 years of experience in the compliance, onboarding, risk management, and institutional sales areas. In her previous roles, she assisted the CCO and compliance team to develop, implement, and monitor written supervisory procedures that are designed to prevent, detect, or identify violations of securities laws and regulations related to investment advisory, private placement, and commodities trading activities in the U.S. and overseas including initial and annual holdings reports, personal securities trade monitoring, gifts and entertainment reporting, annual and interim Form ADV update, annual 206(4)-7 review, service provider due diligence screening, outside affiliations, the solicitation of advisory services for state and federal assets, including pay-to-play policy, state lobbyist registration, and state gift laws.
Sarah was also responsible for broker-dealer regulatory requirements including review of marketing materials and electronic communications, annual test of supervisory systems and controls, firm and regulatory element continuing education, licensing and registration, supervisory appointments, branch and non-branch office inspections, private investment program and membership application screening, and AML/KYC customer identification screening. In addition, she was responsible for establishing appropriate procedures for OSJ, branch and non-branch offices to ensure compliance with broker-dealer policies regarding gifts and entertainment, private placements, supervision of registered representatives, communication with customers, responding to customer complaints, pay-to-play rules, potential lobbyist registration, and recordkeeping.
In addition to the above, she has participated in numerous SEC, FINRA and NFA examinations. Sarah also has experience preparing NFA required quarterly and annual regulatory filings applicable to CPOs and CTAs.
Sarah earned her MBA in Finance from Cardean University (an online consortium of Stanford, University of Chicago, Carnegie Mellon, Columbia, and the London School of Economics). She obtained her B.S. in Business Administration from Castleton State College in Vermont. Sarah holds the professional designation of Certified Regulatory Compliance Professional (“CRCP”) from the FINRA Institute at Wharton. She held the Series 3, 7, 24, 31, 63, and 65 licenses. She is a past member of the Securities Industry/Regulatory Council on Continuing Education, and a continuing member of FINRA’s Regulatory Element Content Development Committee.