Lisa Reid, CAMS, CFE

Lisa tiene más de quince años de experiencia en ámbitos gubernamentales y de cumplimiento de normativas de entidades reguladoras. Antes de incorporarse a Kaufman Rossin, trabajó con la Financial Industry Regulatory Authority (FINRA) para analizar programas de revisión del control de calidad a escala nacional. Additionally, she contributed to the department's annual examination by preparing risk-based examination planning. Finally, as a liaison with assigned member firms, she conducted ongoing financial and sales practice surveillance by analyzing financial reports, evaluating compliance with FINRA and U.S Securities and Exchange Commission (SEC) regulations, identifying potential financial and operational difficulties, and providing appropriate regulatory responses. Early in her career, she worked with the New York Stock Exchange (NYSE), establishing her experience as a Financial/Operational examiner. Additionally, after her time with the NYSE, she gained experience as a consultant working with various broker-dealer clients on the FINOP and regulatory side by generating financial statements, net capital computation, FOCUS II/IIA reports, and overall financial accuracy. She also conducted annual Anti-money laundering (AML) program reviews to evaluate compliance with the USA Patriot ACT and National Association of Securities Dealers FINRA Rule 3310 and compliance with FINRA and SEC rules and regulations. Lisa is a Certified Fraud Examiner (CFE) and Certified Anti-Money Laundering Specialist (ACAMS). She graduated from Howard University's School of Business in Washington, DC, with a degree in Business Administration.