Teresa O’Grady joined RIA Compliance Consultants, Inc. in 2016 as a Consultant. She is responsible for new investment advisor registrations, preparing and amending compliance manuals, email review, annual compliance reviews and any additional items necessary to help develop and assist investment advisor firms and representatives in meeting their regulatory obligations.
Teresa began her career in the financial services industry in 1989, when she joined one of the largest national clearing broker-dealers as a Mutual Fund Analyst. There she started the Mutual Fund Department, which has now grown exponentially in size. She went on to become a Regional Supervisor at a national broker-dealer and investment advisory firm in 1992, where she was responsible for all facets of compliance and supervision for approximately 150 registered representatives all across the US. In 1999, she continued her compliance career taking a position as a Compliance Analyst at a long standing introducing broker-dealer firm, which in part was eventually acquired by a Nebraska-based broker-dealer and investment advisory firm headquartered in Lincoln, NE. Teresa was asked to join the new firm in 2005 as a Compliance Manager, after helping to wind down and eventually close the former company. She was promoted to Senior Compliance Officer in 2015. Her duties included employee on-boarding and training; managing all facets of the systems and filings for the U.S. Securities and Exchange Commission, FINRA, MSRB and state regulators; handling all daily compliance issues with resolution; subpoenas, complaints and document requests; employee trading; email review; regulatory and firm element continuing education; advertising/correspondence/qualified plan presentation review ; books and records retention and storage; WSP policy updates, management and dissemination; supervision of insurance licensing, trade review and internal audits; and many other tasks for the broker dealer, the registered investment adviser, the public finance department and the retirement plans business units.
Teresa has taken and passed the Series 7 (General Securities Representative), Series 24 (General Securities Principal), Series 53 (Municipal Securities Principal), Series 63 (Uniform Securities Agent State Law), Series 65 (Uniform Investment Adviser Law), Series 66 (Uniform Combined State Law) exams. She has also earned the Series 79 (Investment Banking Representative) and Series 99 (Operations Professional) exams.
Teresa received Employee of the Year awards in 2012 and 2015 at her former employer. She is a member of the SIFMA Compliance and Legal Division and the National Association of Professional Women. She is a team player and very excited to join the RIA Compliance Consultants team.