Liza D.
Chief Compliance Officer | Investment & Wealth Management Compliance | Governance, Risk & Supervisory Controls
- Role
- Chief Compliance Officer at Alliance Entrust
- Location
- Los Angeles, CA, US
- LinkedIn followers
- 500 followers
About Liza D.
Chief Compliance Officer and executive leader with 25+ years of experience across SEC‑registered investment advisers, wealth management, asset management, and broker‑dealer environments. I lead compliance program governance, annual reviews, Form ADV and other regulatory filings, Marketing Rule and Code of Ethics oversight, surveillance, training, and exam readiness for Alliance Advisory & Securities, LLC.My role also covers operational and people leadership: aligning key operations, HR, and technology partners with the firm’s control environment, and serving on the Executive Leadership Team and Investment Committee to support scalable growth with strong supervisory, risk, and governance practices. Holding certifications such as IACCP®, CAMS®, and CFE®, along with a Sustainable Investing Certificate, I support the firm’s commitment to compliance excellence and ethical growth.I am increasingly focused on how emerging technologies, including AI‑enabled tools, can be evaluated and governed to support advisors and clients while managing model risk, data privacy, vendor oversight, and ethical considerations. My goal is to create a robust, transparent regulatory framework that empowers the organization to achieve its strategic vision.
Experience
Chief Compliance Officer
Feb 2025 — Present
Education
Pepperdine University
Master of Business Administration - MBA, Finance
2010 — 2012
Pepperdine Graziadio Business School
Bachelor of Science, Management
2007 — 2009
Pepperdine Caruso Law
Certificate in Dispute Resolution, The Straus Institute for Dispute Resolution
2011 — 2012
Skills
- Asset Managment
- Auditing
- Aml
- Cams
- Investments
- Mutual Funds
- Risk Management
- Regulatory Compliance
- Legal Compliance
- Equities
- Financial Services
- Certified Anti-Money Laundering
- Asset Management
- Finra
- Due Diligence
- Series 63
- General Securities Registered Representative
- Management
- Anti Money Laundering
- Investment Management
- Variable Annuities
- Trading
- Alternative Investments
- Quality Assurance
- Series 6
- Insurance
- Series 24
- Series 7
- Investment Advisory
- Series 66
- Finance
- Securities Regulation
- Securities
- Portfolio Management
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