Compliance Analyst II Shelly Welch Headshot

Shelly Welch – Compliance Analyst II

Shelly Welch joined RIA Compliance Consultants in February 2022 as a Compliance Analyst. She is responsible for assisting the Senior Compliance Consultants with performing annual reviews of compliance programs and mock regulatory exams of investment adviser clients. She will also prepare IARD (Investment Adviser Registration Depository) filings, Form ADV updates, and review advertisements and other materials submitted by clients for compliance with the Investment Advisers Act of 1940 and various state securities acts.

Shelly recently retired as Chief of Registration from the Office of the Kansas Securities Commissioner after serving 19 years with the agency. Her career there included almost 10 years as a Compliance Examiner auditing state-registered investment advisers and 9 years conducting application reviews, investigations, and oversight of broker-dealer, investment adviser, and regulated investment company registrations, as well as private adviser and offering exemptions. During her years at the Kansas Securities Commissioner’s office, Shelly presented numerous seminars for registered investment advisers and their investment adviser representatives (“IARs”), mentored other regulatory examiners, served as a speaker and consultant for the Women & Money Library Series, and was a NASAA (North American Securities Administrators Association) Central Zone representative. She has also successfully passed the Series 63 exam.

Shelly has a paralegal degree from Washburn University in Topeka, Kansas and was previously a litigation paralegal for a private law firm and the Kansas Department of Administration Legal Section. Prior to joining the Securities Commissioner’s Office, she was a Special Agent for the Kansas Attorney General’s Consumer Protection Division. She is excited to join the team at RIA Compliance Consultants and help our clients comply with the investment adviser rules that govern their business operations.