Amanda N.

WORK HISTORY

ABOUT AMANDA N.

Regulatory Compliance, Risk and Control Management professional with 25+ years of experience across broker-dealer, investment advisory, banking, and insurance regulatory environments. Proven expertise in regulatory filings, disclosure governance, securities registration, licensing compliance, and corporate insurance licensing and renewals supporting organizations regulated by the Financial Industry Regulatory Authority, the U.S. Securities and Exchange Commission, federal banking regulators, and state securities and insurance regulatory authorities aligned with standards from the National Association of Insurance Commissioners. Experienced managing complex regulatory filings including Forms BD, BDW, ADV, Annual ADV amendments, CRS, 4530, TA-1, TA-W, 7-R, 3-R, U4, U5, and Disclosure Reporting Pages (DRPs), while overseeing corporate insurance licensing and renewal processes to maintain active firm registrations and regulatory compliance. Ensures adherence with the Investment Advisers Act of 1940 and related financial regulations. Recognized for strengthening compliance governance, improving regulatory reporting accuracy, and partnering with legal, risk, and audit teams to enhance control frameworks and ensure regulatory readiness across complex financial services organizations.Advanced knowledge of regulatory and compliance systems including FINRA CRD & IARD, RegEd Xchange, SEC EDGAR, NFA ORS, NIPR, Archer/SHRP, Salesforce, JIRA, Confluence, SharePoint, Oracle, Veritas Issue Management, ServiceNow, ServiceWorks, Documentum, and BETA. Advanced proficiency in Excel, Visio, and data reporting platforms including Power BI, Tableau, and MicroStrategy.