Lisa Paygane is the Vice President and Director of Registration Services with Renaissance Regulatory Services, Inc., a full-service consulting firm that offers a wide range of regulatory compliance consulting services to broker-dealers and investment advisers. In this role Lisa is responsible for all aspects of the startup and registration services provided by RRS as well as consulting on federal, state and SRO registration matters.
Lisa has thirty years of experience in the financial services industry and has supported a wide range of broker-dealer and investment adviser registration engagements. In her current role, Lisa manages all aspects of the registrations department, including consulting services, for FINRA and NYSE broker-dealers regarding new and continuing membership applications. Her responsibilities include managing the registration of investment advisers and municipal advisers. In addition, Lisa manages and serves as senior consultant for RRS Compliance Administrator program. In this role she is responsible for supervising ongoing compliance support relating to FINRA, SEC and State regulatory filings, Form ADV and Form BD updates, state registrations, notification filings required for both broker-dealers and investment advisers and annual renewal services.
Lisa has served in project management positions on registration related matters for large national and multinational firms. These engagements have included project management for FINRA and SEC Filings for alternative trading systems, self-clearing broker-dealers, full-service broker-dealers and limited purpose broker-dealers. She has also managed filings in connections with corporate mergers and consolidations for large bank holdings companies and insurance affiliated registrants. Her consulting engagements also include review of the Forms BD and ADV for financial services holding companies to identify disclosure deficiencies and ensure consistency in reporting. Lisa has also been engaged to support remediation resulting from regulatory examinations and investigations.
Prior to joining RRS, Lisa managed the registration department for a large multinational regulatory consulting practice supporting broker-dealers, investment advisers, investment companies and their registered representatives. Lisa has also provided training related to FINRA systems and the CRD and IARD filing processes.
Ms. Paygane received a Bachelors of Science in Management from Florida Atlantic University.
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