Laura Plourde
V.P. Compliance at Equity Services, Inc.
- Role
- V P Compliance at Equity Services, Inc
- Location
- West Charleston, VT, US
- LinkedIn followers
- 500 followers
About Laura Plourde
FINRA Series 7, 24 & 63 Laura Plourde is a Registered Principal of Equity…
Experience
V P Compliance
Mar 2020 — Present · Montpelier, VT, US
I supervise all aspects of e-communications for both retention and monitoring. This ensures compliance with the SEC and FINRA regulations for our field and home office Registered Representatives and Investment Advisor Representatives. I am responsible for the platforms and process’ for all avenues of e-communications including social media, instant messaging, email, texting, collaboration tools etc. I work closely with all our IT partners to ensure that our end to end processes are as efficient as possible while maintaining the highest level of compliance. Other areas of responsibility include:• Testing new platforms and systems that may have an e-communications component to ensure compliance. This includes providing guidance to senior management on the compliance needs as well as the impact of each potential project.• Provide guidance across the firm on when BD oversight is needed on e-communications and/or what our technical needs are during project design and implementations• Key stakeholder in the implementation of the switch to two new surveillance platforms• Leads the team that surveilles all the firms e-communications, investigations and resolutions• Provides guidance and training to both our internal and external partners on the regulatory requirements as well as best practices• Conducts higher level investigations, partnering with both the field and internal senior leaders for proper resolution and if needed discipline• Conducts periodic testing to ensure that all our platforms are working properly and address any gaps as necessary with our IT teams to ensure compliance
Education
Ashford University
Master of Business Administration (M.B.A.), Project Management
2016
The American College of Financial Services
ChFC
Institute of Business & Finance
Master's Degree, Master of Science in Financial Services
Post University
Bachelor of Arts (B.A.), Finance, General
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