Kelly Smith
Compliance Consultant @ Comply | Regulatory Compliance | Audits | Comprehensive Compliance Services
- Role
- Compliance Consultant at Comply
- Location
- Aurora, OH, US
- LinkedIn followers
- 500 followers
About Kelly Smith
I help Registered Investment Adviser (RIA) firms across the country build, strengthen…
Experience
Compliance Consultant
Apr 2024 — Present · Cleveland, OH, US
As a compliance consultant at Comply, I partner with SEC and state-registered firms nationwide to build and maintain strong, practical compliance programs. With a background as a Chief Compliance Officer and several decades in financial planning, I understand how to balance real-world advisory needs with evolving regulatory requirements.CFP®, IACCP®, FINRA securities licensed, and Ohio life insurance licensed, I’m passionate about helping firms simplify compliance so they can focus on what matters most — serving their clients with confidence and integrity.
Education
Lakeland Community College
Finance, Accounting
David N. Myers University
Accounting
Skills
- Series 7
- Asset Managment
- Investments
- Asset Management
- Securities
- Estate Planning
- Strategic Financial Planning
- Wealth Management
- Financial Planning
- Retirement Planning
- Finra
- Tax
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