DFP Partners
Samantha Dube is a seasoned compliance professional with extensive experience in the financial services industry. Currently serving as Compliance Manager at DFP Partners since July 2019, Samantha previously held roles including Compliance Associate and Senior Compliance Associate. Prior to this, Samantha worked at Foresters Financial Services, where responsibilities included training Compliance Examiners and serving as a subject matter expert in broker-dealer compliance. Earlier roles included Senior Compliance Examiner and Compliance Examiner at Foresters Financial Services and a Client Service Representative at Merrill Edge, focusing on customer service and transaction processing. Samantha's career also includes time as an Account Manager at Entouraj Solutions and Branch Supervisor at TD Bank Group, where leadership and customer service skills were honed. Samantha holds a Bachelor's degree in Economics from Kean University and a high school diploma from Old Bridge High School.
DFP Partners
For over 40 years, DFP Partners has been a committed ally to Broker-Dealers, Registered Investment Advisers, and other financial services firms looking for accounting and compliance services. During that time, we’ve built a team of dynamic accountants and consultants who bring their exceptional energy and imagination to each of our client’s challenges. We a pledge to always serve the best interests of our clients above anything else. At DFP Partners, we know our clients are entrepreneurs with little time to wrestle with the intricacies of securities regulation. That’s why we’ve built our business around managing your regulatory burdens as if they are our own — freeing you to focus on what you do best. Our offerings include, compliance consulting, registration services, accounting and tax support, and outsourced principal roles such as, Financial and Operations Principal (FinOp), Chief Compliance Officer (CCO), Chief Financial Officer (CFO) and Principal Operations Officer (POO). Additionally, we provide independent anti-money laundering testing, cybersecurity procedures and training, and branch inspection programs. We can also manage your new or continuing membership applications.