2020 Compliance Professional of the Year

September 01, 2020

RIA Compliance Consultants is pleased to announce Anthony Woodard as the winner of our 2020 Compliance Professional of the Year! Anthony serves as the Chief Compliance Officer for Prime Capital Investment Advisors, LLC (PCIA). As CCO, his primary objectives are to ensure that PCIA is in compliance with industry regulations, to assess the firm’s exposure to risk, and to create and administer policies that effectively address such risks.

When asked why Anthony deserved this award, his colleague, Melissa Sturgis, said:

“Anthony is a resource for not only our firm but also for many others across the country. He has participated on many industry panels specializing in such topics as fiduciary duties and growing a “friendly” but appropriate compliance environment. He is forward thinking and has, through his dealings with auditors, formed unique relationships with them as he defends the actions of our firms with his interpretation of the many rules, regulations and confusing guidance within our industry today. We are so thrilled to have him lead our team and the growth of our firm is a testament to him and the compliance culture he has created.

Anthony was given the 2020 Compliance Professional of the Year Award at RIA Compliance Consultants’ 2020 RIA Compliance Connection virtual conference on August 27, 2020. In addition to receiving a commemorative plaque, RIA Compliance Consultants is donating $500 in Anthony’s name to The Leukemia & Lymphoma Society (lls.org).

Congratulations, Anthony!

Posted by Grant Parr
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