Please join Dawn Bond, Compliance Advisory Services, Inc. and Marshall Huwe, CEO, Amicus, Inc. for this FREE one-hour webinar where we'll explore four risk management strategies to protect your firm and your reps in the New World of Broker-Dealer Compliance.
...Dawn Bond is Executive Vice President and co-owner of Compliance Advisory Services, Inc., a consulting firm based in Atlanta, Georgia.As co-owner of Compliance Advisory Services, Dawn offers to independent broker/dealers and investment advisers compliance assistance and support.
The firm strives to offer a relief to compliance staffs by stepping up to administer compliance needs and duties and become part of the compliance team.The goal of Compliance Advisory Services
is to relieve concerns about compliance issues by stepping in and taking a hand on approach.The firm assists with registrations, manuals, audits and consults on various compliance matters.Dawn
has been in the securities industry for over 12 years.She
holds Series 7, 24, 63 and 65 securities licenses and is working on obtaining the CFP designation.Additionally, she has completed studies as a paralegal and attended Kennesaw State University.Dawn started her career in the securities industry with a financial planning firm in Minneapolis, Minnesota.There she served as Vice President of Client Services and oversaw compliance and the asset allocation process.After moving to Atlanta, Georgia, she worked for a large broker/dealer in the legal department and was promoted to RIA Compliance Director.As RIA Compliance Director she was responsible for directing compliance issues and participating in the decision making process related to the management of advisory business at the broker/dealer.
oversaw the acquisition of outside investment advisers.Dawn served on the FPA Compliance Advisory Council for the broker/dealer division of the FPA.