Zachary Shannon

About Zachary Shannon

I am Senior-level Financial Services leader with 20+ years of comprehensive experience advising firms on Compliance requirements related to investment advisory, investment company, capital markets, investment banking, retail broker dealer and commodity sectors. I am recognized as a highly collaborative professional with the demonstrated ability to ensure business models and distribution activities are in compliance with applicable regulatory requirements.I have been complimented as being able to quickly identify the potential gaps which may exist with a firm’s controls, and to provide solutions oriented recommendations. By understanding both the business needs and the applicable regulatory requirements, I have been a successful collaborative adviser working with employees at all management levels.Specialties: due diligence | forensic testing | portfolio compliance monitoring | risk assessments | policy and procedure reviews | mutual fund board reporting and presentations | training and education | compliance and operational investigations | regulatory compliance | regulatory filings | SEC & CFTC regulations | NFA rules | compliance audits | Finra & SEC inquiries

Experience

1. Compliance Director

   Envestnet

   Jun 2022 — Present · Chicago, IL, US

Education

• University of St. Thomas

  Bachelor of Arts (B.A.), Accounting

  1993 — 1997

Skills

• Due Diligence
• Compliance Training
• Trading
• Mutual Funds
• Finra
• Capital Markets
• Series 7
• Series 24
• Auditing
• Fixed Income
• Anti Money Laundering
• Regulatory Compliance
• Equities
• Financial Services
• Investment Advisory
• Series 66
• Sec
• Securities