Kristen founded RIA Compliance Key in 2020. Having established an RIA compliance program from the ground up, Kristen saw the need for compliance assistance as it related to building out firm compliance processes. She saw the value of compliance professionals who offered a customized service with billing options rather than a one size fits all model. Kristen will work with firm leaders and staff to create and document compliance policies that provide a foundation for an ongoing culture of compliance. She understands the value a strong compliance partner can be for an RIA firm.
Kristen started her career in the financial services industry in 2003 and has an extensive compliance background. She previously held the Series 7, 24, 53, 63 and 65 and a Masters of Business Administration from MidAmerica Nazarene University.
Kristen held multiple positions in the Compliance Department at Waddell & Reed during her almost 10 years there, including Compliance Examiner, Compliance Analyst, Compliance Analyst Team Lead and Electronic Surveillance Manager. Kristen joined PCG Wealth Management as the Director of Compliance when the firm opened in 2018. Kristen also served as CCO and OSJ Delegate for both Hybrid and Corporate Advisors on LPL Financial's platforms during which time she developed a strong understanding of LPL's Hybrid and Corporate business models.
Kristen looks forward to meeting you, understanding the needs of your firm and learning how she may be of assistance.
Mr. Cannizzaro joined RIA Compliance Key in December 2021. He has over 25 years of industry compliance experience and has spent his entire career either providing compliance advice or working and managing large and complex compliance departments for both investment advisers and broker dealers. For the past 14 years, Mr. Cannizzaro has offered his compliance consulting services to registered investment advisors and broker dealers, helping them to develop, maintain and enhance their in-house compliance programs while keeping them in tune with the latest SEC and/or FINRA regulations.
Prior to his consulting career, Mr. Cannizzaro spent 12 years in such capacities as Chief Compliance Officer and Chief Risk Officer. During his career he has developed both compliance and operational procedures that are uniquely designed to marry compliance requirements with the operational needs of an efficient business. Having actually worked within the business environment, and having endured dozens of internal audits, third party assessments and regulatory examinations, Mr. Cannizzaro has a firm grasp of the examiner’s perspective as they audit a firm and can provide practical guidance to help establish a comprehensive compliance program enabling firms to get through a regulatory review with minimal issues. Although Mr. Cannizzaro has worked for some large institutional firms, he understands that any advice he provides needs to be grounded in reality and that it needs to be practical and resource appropriate for your firm.
Mr. Cannizzaro has previously held the Series 7, 9, 10, 24 and 63 designations. Mr. Cannizzaro has a Bachelor of Arts degree in Economics with a concentration in Finance, from the University of Connecticut.
Schedule a time to talk to Jeff today: https://calendly.com/jeffrey-160