Bobby Boyce

About Bobby Boyce

Accomplished compliance executive with over 22 years of experience leading regulatory and operational oversight within the investment advisor, private equity, and broker-dealer environments. I specialize in building and managing effective compliance frameworks that not only meet regulatory expectations but also drive operational efficiency, reduce risk, and foster a culture of ethical excellence.Throughout my career, I\'ve led major initiatives that resulted in measurable gains, such as reducing compliance issues by 20% and increasing internal efficiency by 90%. My strengths include risk assessments, regulatory reporting, policy development, AML/KYC reviews, and managing complex compliance obligations across multiple jurisdictions, including U.S. and offshore structures.I\'ve successfully led compliance programs through SEC and FINRA examinations, collaborated with cross-functional teams on everything from Form ADV filings to marketing reviews, and implemented proactive testing programs that enhanced firm-wide compliance by over 50%.My approach is hands-on, analytical, and solution-driven. I enjoy working with both internal stakeholders and external partners to create compliance programs that align with business goals while standing up to regulatory scrutiny.If you\'re looking to connect on topics like regulatory strategy, compliance leadership, or operational risk management in the financial services space, I\'m always open to a conversation.NOTE: The CSCP® designation is a leading certification demonstrating expertise in broker-dealer, investment adviser, and/or dual registration firms that encompasses compliance best practices, rules and regulations, and industry standards.

Experience

1. Chief Compliance Officer

   Diamond Client Group

   Oct 2025 — Present

Education

• Utica College

  CSCP® designation program, Financial Crime and Compliance Management

  2016 — 2017

• Utica University

  Master of Science - MS, Financial Crime and Compliance Management

  2016 — 2019