Andreana Guillet has a background in securities compliance and financial examination, working in various roles at government agencies and private firms. Currently a Compliance Consultant at Compliance Risk Concepts, Andreana provides ongoing support to investment advisers on regulatory matters. Prior to this, Andreana held positions at RIA in a Box, the District of Columbia Department of Insurance, Securities and Banking, the Georgia Secretary of State, and the U.S. Securities and Exchange Commission. Andreana holds a Master of Business Administration from the University of Maryland and a Bachelor of Business Administration in Finance from The University of Georgia.
This person is not in any offices
Compliance Risk Concepts (CRC)
To meet rigorous regulatory expectations and requirements, it is imperative that organizations have access to “best in class” talent that has extensive knowledge of the businesses being supported. CRC is staffed with a team of Compliance Risk Management industry professionals that have a proven track record of establishing comprehensive Compliance Risk Management Programs throughout many industry verticals. We offer compliance consulting services in the following industries: Financial Services Anti-Corruption & Ethics Technology Industry Compliance Enterprise Compliance Risk Management Research Supervisory Analyst Expert Witness Service Financial Operational Principal Services With headquarters in New York, NY, and offices in Chicago, IL, and Westport, CT, CRC is your full-service Compliance Risk Management support partner. Please feel free to contact us with any questions related to the services and solutions described and we would be happy to schedule a call / meeting to further determine your individualized needs and requirements. CRC specializes in executing and overseeing the following: New Member Applications | Continuing Member Applications | Annual CEO Certifications | Independent AML Reviews | Conflict of Interest Reviews | Expert Witness Testimony | 15c3-5 Certifications | MCDC Oversight | Trading Surveillance | Best Execution Analysis | Swap Dealer BCP Independent Reviews | Investment Advisor Gap Analysis | Industry Surveys/Studies | Public Speaking Engagements | Written Supervisory Reviews | Regulatory Relations | Examinations | Dodd-Frank | Volcker Rule | Broker Dealer Compliance | Sales Practice | Bank Compliance | System Implementations | Equity and Fixed Income Markets | Research | BSA / AML | Regulatory Reporting