Director of Client Services & Operations
Anne has over 30 years of experience in the legal, operations, and compliance areas for financial service companies. She has held the positions of Chief Operating Officer, Chief Compliance Officer, and AML Officer for FINRA member broker-dealers and SEC-registered investment advisors. Throughout her career she has supported the compliance initiatives of a select group of SEC-registered investment advisors, private equity firms, investment management advisors, and broker-dealers. She began her securities career with the Massachusetts Securities Division and the Boston office of the NASD, now FINRA.
Anne holds a J.D. from New England School of Law and a B.A. from the University of Massachusetts, and is a member of the Massachusetts Bar. She attained her IACCP designation and completed the FINRA Institute at Wharton Certified Regulatory and Compliance Professional (CRCP) program, as well as Series 4, 7, 24, 27, 79, 87 and 99 designations. She often participates as a presenter at IACCP courses and other industry compliance conferences.
Anne and her husband have four children. Together they enjoy traveling, camping, walking, and spending time in the kitchen with family, friends, and old recipes.