Our Team

Mr. Sussman founded Regulatory Compliance in 1989, providing broker-dealer and investment adviser compliance consulting services to hundreds of clients worldwide. He has particular expertise in broker-dealer accounting practices and is well versed in SEC-regulated accounting procedures. Prior to starting Regulatory Compliance, he performed exams of SEC-registered investment companies and was a senior examiner with FINRA (formerly NASD) in New York and Boston.

Series licenses: 7, 24, 27, 63, CPA

Ms. Sussman specializes in FINRA Change of Membership Applications pursuant to NASD Rule 1017, assisting clients with the many details involved in this complex process, including changes to ownership structure and business lines. She also performs on-site client services such as mock examinations, AML examinations, new office set-ups and branch exams. Ms. Sussman serves as company treasurer and human resources coordinator and works closely with the management team to ensure the company operates efficiently.

With the company since 1998, Mrs. Vaira oversees day-to-day operations and works closely with the management team to ensure clients’ expectations are met. She manages marketing campaigns, ongoing projects and client communications. Mrs. Vaira also oversees staff work and assists with various compliance tasks, and has worked with clients on CRD filings, manual customizations, and various compliance requests and research.

With more than 25 years in the financial services industry, Mr. Dawicki manages services to clients in meeting their financial regulatory compliance requirements and is responsible for technical consulting, quality control and practice development. Previously, he spent 17 years at regional and international CPA firms, becoming a specialist in broker-dealer GAAP accounting and FINRA/SEC regulatory reporting systems. He has audited and reviewed net capital and FOCUS reports for compliance with Rule 15c3-1 for broker-dealers in all sectors of the industry. He has also audited and consulted with hedge funds, commodity funds and investment advisory firms.

Ms. Crosby-Brown specializes in broker-dealer registrations, compliance, and examinations and is a CCO and financial and operations principal. She has more than 25 years of compliance experience, having also worked at a large national securities firm where she reviewed representatives’ advertising and sales literature, coordinated the firm’s continuing education plan, and provided training. She also served as the manager of financial and tax reporting and FINOP for a life insurance-affiliated broker-dealer, performing federal and state financial, tax and regulatory filings; net capital computations; and separate account accounting.

Series licenses: 7, 24, 27, 63

Wendy is the executive assistant to the Regulatory Compliance president and handles senior administrative needs in the office.

Ms. Fetcko is a paralegal, Certified Trust and Financial Advisor (CTFA), and member of the National Society of Compliance Professionals, offering more than 30 years of securities industry experience. Her responsibilities at Regulatory Compliance as the manager of the Compliance Partner Department include consulting on various compliance issues; oversight of client relationships; conducting AML, branch office, and mock exams; as well as managing the day-to-day activities of the Compliance Partners program. Prior to joining Regulatory Compliance, Ms. Fetcko was an operations manager with a major Midwest brokerage firm.

Ms. Hagan joined Regulatory Compliance in 1998 to assist with marketing efforts to broker-dealers and registered investment advisers, and has been instrumental in the phenomenal growth the firm has realized since that time. She currently manages a sales team of three, with a focus on every state in the U.S., as well as internationally. She is also directly responsible for the registered investment adviser sales efforts at the firm, maintaining client relations and serving on the management team.

Jane assists clients with compliance issues, CRD processing, state registrations, preparation of special monthly and quarterly reports, supervisory manuals and other managed services. Jane also conducts AML examinations.

Series licenses: 6, 7, 24

Nathan develops and oversees the examination programs used to conduct broker-dealer and investment advisor examinations. These include branch/OSJ examinations, mock FINRA exams, supervisory controls testing, anti-money laundering examinations, and SEC Rule 206(4)-7 testing. Prior to joining Regulatory Compliance, he worked as a financial adviser, compliance examiner, and supervisory principal at a major securities firm. During his seven years in a compliance role, Nathan participated in developing the examination module, training examiners, reviewing examinations, and working with internal departments to follow up on regulatory findings.

Series licenses: 7, 9, 10, 63

Richard contacts and follows up with prospective broker-dealer and investment advisor clients and assists with their compliance needs.

Josef has spent the majority of his career marketing products or concepts to registered representatives including PPGA, MGA, and RIA’s. As regional sales representative, Josef is responsible for outside sales for new and existing accounts based on territory and maintaining quality client relations.

Series licenses: 7, 63, 65

Gail is a member of the Compliance Partner Team. As a compliance associate, she plays an integral role in the customization and updating of the written supervisory procedures manual and anti-money laundering manuals. Gail also assists account managers with the day-to-day management of ongoing CRD work for Compliance Partners. 

Kathryn assists clients with compliance issues, CRD processing, state registrations, preparation of special monthly and quarterly reports, supervisory manuals and other managed services.

Series licenses: 6

Greg assists with broker-dealer and investment advisor registrations with FINRA, the SEC and other regulatory jurisdictions. He performs manual customizations and completes various compliance filings.

Ben served with the Commonwealth of Massachusetts for more than 5 years as an investment adviser examiner. Ben provides guidance regarding operational and regulatory requirements associated with starting and managing a registered investment advisor. He assists with the development and implementation of compliance programs for registered investment advisors.

Kristen assists with broker-dealer and investment advisor registrations with FINRA, the SEC and other regulatory jurisdictions. She performs manual customizations and completes various compliance filings.

Sally provides support to the Regulatory Compliance team by greeting clients, preparing manuals and performing word processing and bookkeeping tasks.

Derrick brings expertise in disaster recovery plans, business continuity planning, and data security to his role at Regulatory Compliance. He oversees the development of automated compliance programs to manage client policies and procedures. Derrick also services office equipment and assists in the implementation of computer projects. 

Mr. Flynn has extensive experience in the challenges facing compliance professionals and firms dealing with the compliance requirements of SEC, state, and FINRA rules and regulations. He advises Regulatory Compliance on a broad array of legal and compliance matters involving broker-dealers and investment advisers. Prior to entering private practice, Mr. Flynn was the chief compliance officer, financial and operations principal and general counsel for a Boston-based investment banking firm. He began his career in the securities industry with the Securities and Exchange Commission and during his 22-year tenure held a number of senior-level positions where he had primary responsibility for the examination of broker-dealers, investment advisers, investment companies
and transfer agents.

Series licenses: 7, 24, 27, 29

Walter performs AML, branch, and mock FINRA and SEC examinations.  Walter also works closely with accounting clients and staff to maximize customer satisfaction. He reviews monthly and quarterly financial reporting and oversees the final delivery to clients. Prior to joining Regulatory Compliance, Walter was CCO and COO of the broker/dealer and registered investment advisor subsidiaries of a large regional bank and a national insurance company.

Series licenses: 7, 24, 27, 53, 63, 65 and CFP

Rich is an experienced financial and operations principal. He reviews financial reporting and regulatory filings for clients and makes recommendations to maintain compliance.

Beth works with the accounting team to complete monthly accounting and reports. As a staff accountant, Beth prepares monthly net capital computations and financial statements, prepares and files monthly/quarterly FOCUS reports, and communicates with FINRA and SEC examiners for Regulatory Compliance’s client base. Beth has B.S. in Business and majored in Accounting. Beth also has experience as a tax accountant.

Stacey has assisted the Regulatory Compliance team for over 10 years. Stacey prepares monthly net capital  computations and financial statements, prepares and files monthly/quarterly FOCUS reports, and communicates with FINRA and SEC examiners for Regulatory Compliance’s client base.

Sheila works directly with management to review company payables and receivables. ­She also reviews project time and answers client questions related to billing and fees. Sheila has extensive background in keeping companies’ financials accurate and up-to-date.

Dalkis Muir is a Boston-based attorney in private practice, focusing on corporate and securities matters including broker-dealer and investment adviser regulation. Her practice involves assisting clients in forming and registering under the Investment Advisers Act of 1940 and regulations and broker-dealers under FINRA and SEC regulations. She also counsels clients on compliance matters and securities laws.  She has experience in developing private securities offerings both onshore and offshore for hedge funds and other financial companies.