Kimberly Ryan is a Senior Regulatory Compliance and financial operations professional currently serving as Associate Director at Compliance Risk Concepts since April 2023. Kimberly's previous experience includes roles as Chief Financial Officer and FINOP at DAI Securities, LLC, where responsibility encompassed managing financial filings and securing licenses for broker/dealer operations from April 2018 to April 2023. Prior to that, Kimberly held a dual role as Controller at Secure Asset Management, LLC, and President and FINOP at Aurora Securities from April 2016 to March 2018, overseeing financial operations and advising on acquisitions. Kimberly's career also includes serving as Chief Financial Officer and FINOP at Concorde Investment Services, where efforts focused on establishing a broker/dealer business through engagement with FINRA, and as Operations Manager at Concorde Financial Group, managing client relationships and reporting. Kimberly holds a Bachelor of Business Administration in Finance from Oakland University and Baker College.
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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