Linda Stump is a Compliance Consultant 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. Mrs. Stump has over twenty-five years of experience in insurance and broker-dealer compliance.
Prior to joining the Renaissance Regulatory Services team, Mrs. Stump served as Chief Compliance Officer and Privacy Officer for an insurance-only broker-dealer owned by a large national bank. In this role, she was responsible for the development of compliance and operating manuals, policies and procedures, compliance communications and training. She conducted branch audits and managed firm responses to the SEC, FINRA and state securities regulators. She provided compliance review of marketing materials and managed emergency response and business continuity planning and testing. Before becoming a registered principal, she was a Legal and Compliance Manager, responsible for drafting and managing contracts, and assisting Corporate Counsel with various acquisitions and divestitures.
Her background also includes Corporate Communications, Human Resources and Operations positions in the insurance and medical fields.
