Senior Legal and Compliance Advisor
Samantha possesses special expertise developing and implementing customized compliance programs for SEC, CFTC, and FINRA regulated organizations. She has worked with more than 100 investment advisers, alternative asset managers (including private equity funds, hedge funds, real estate funds and venture capital funds), and broker-dealers ranging from startups to multibillion dollar firms. Samantha has served as Chief Compliance Officer and Interim Chief Compliance Officer for SEC-registered investment advisers, “Of Counsel” for law firms, and has worked for various securities compliance consulting firms.
Samantha makes a meaningful impact on our clients’ businesses overall, by enhancing or otherwise creating an exceptional compliance program and cultivating a strong culture of compliance. She provides proactive, comprehensive, and independent compliance solutions, including investment adviser registrations and filings, drafting and revising compliance policies and procedures, compliance program testing, mock audits, annual reviews, compliance onboarding, and employee compliance training.
Samantha received her B.A., cum laude, from the University of Florida and her J.D. from Ave Maria School of Law. Samantha is admitted to the Florida Bar and to the Bar of the Illinois Supreme Court, and an active member of several professional and networking organizations in Chicago. Samantha is also the Director of Events for Chicago Financial Women, a NFP organization that is committed to expanding the professional networks of Chicago-area women in the fields of finance and financial services.
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