Susan Steele

Susan is a Senior Compliance Adviser at FiSolve , a compliance executive with more than 20 years of experience leading compliance, regulatory oversight, governance, and risk management programs across the investment management and financial services industry.  Her expertise spans SEC-registered investment advisers, FINRA-registered broker-dealers, registered funds, exchange-traded products, unit investment trusts, and alternative investment platforms. 

Throughout her career, Susan has served in senior compliance leadership roles with leading organizations including iCapital, Grayscale Investments, Invesco, and Guggenheim Funds.   

Most recently, as Senior Vice President of Compliance at iCapital, Susan assisted in overseeing compliance programs for multiple SEC-registered investment advisers, leading annual compliance reviews under Rule 206(4)-7, conducting mock SEC examinations, developing testing and monitoring frameworks, and enhancing policies and procedures to align with evolving regulatory expectations and industry best practices. 

Previously, as Deputy Chief Compliance Officer at Grayscale Investments, Susan led compliance testing and monitoring initiatives, vendor due diligence programs, and enterprise risk management activities, while ensuring adherence to SEC, FINRA, and other regulatory requirements. 

Susan is recognized for her ability to build and strengthen compliance infrastructures, develop risk-based testing and monitoring programs, and navigate complex regulatory environments. She is a trusted advisor with extensive experience serving as a liaison to SEC, FINRA, and MSRB regulators and guiding organizations through examinations, inquiries, and regulatory change initiatives. 

Susan holds a Master of Business Administration from the University of Connecticut and maintains FINRA Series 7, 24, 52, 53, and 63 licenses. Her professional reputation is built on integrity, operational excellence, regulatory expertise, and a commitment to cultivating strong cultures of compliance.