Sue is a Director, Senior Consultant with 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.
Sue has over 30 years of industry experience, which includes providing support to prominent law firm practice groups specializing in broker dealer regulatory matters, securities litigation and regulatory responses. In addition to reviewing and drafting client written supervisory procedures, she conducted extensive analysis of corporate records, filings, trading and financial disclosures and coordinated regulatory responses and documentation reviews.
She has valuable operational and back-office experience with trade settlement, reconciliation and trade data reporting for family office managed partnerships and mutual funds, including matters related to transfer agent and custodial relationships.
For the most recent 18 years, Sue has been developing effective securities compliance programs for retail brokers, managing dealers, and retail and institutional advisers. In addition, Sue has created compliance programs for institutional firms, specifically, closed-end funds, private funds, partnerships and alternative investment funds. Her areas of expertise include building compliance programs for new entities, conducting gap analysis, developing policies and procedures, written supervisory procedures and developing broker and IA controls testing. Serving as CCO/Deputy CCO for these entities, she is experienced in providing IA Act Rule 206(4)-7, IC Act 38a-1 and FINRA Rule 3110 and 3120 reports and presentations to governing Boards and Leadership teams. Lastly, Sue has led the response teams for both SEC and FINRA cycle examinations.
Sue holds a Bachelor of Science in Legal Studies from Rivier University. In addition to holding FINRA licenses 63, 7 and 24, Sue holds the Certified Securities Compliance Professional designation from the National Society of Compliance and the Investment Adviser Certified Compliance Professional designation from the National Regulatory Services. When she is not championing compliance initiatives, Sue enjoys the beach and spending time with her husband, children and grandchildren.
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