Samantha has focused her career on developing and implementing customized compliance programs for SEC, CFTC, and FINRA regulated organizations. She has worked with over 100 investment advisers, alternative asset managers (private equity funds, hedge funds, real estate funds, venture capital funds, etc.), and broker-dealers, with assets under management ranging from several hundred million to several billion dollars. Samantha has held roles such as Chief Compliance Officer and Interim Chief Compliance Officer for SEC-registered investment advisory firms, “Of Counsel” for law firms, and has worked for various securities compliance consulting firms.
Samantha founded Coast to Coast Compliance to utilize her experience to make a meaningful impact on clients’ businesses overall, by enhancing or otherwise creating an exceptional and customized compliance program and cultivating a strong culture of compliance. The Firm provides proactive, comprehensive, and independent compliance solutions and focuses primarily on project-based deliverables and various ongoing compliance pain points for investment advisers, broker dealers, and other financial services firms.
Coast to Coast Compliance can also assist other financial services firms: create new revenue streams, by developing new service offerings; grow their reputation, by engaging a new subject-matter expert in compliance; improve client retention, by providing a more comprehensive service offering; or bridge a gap through personnel transitions, special projects, etc., by engaging as-needed, on-demand, and independent securities compliance resource.
Samantha received her B.A., cum laude, from the University of Florida and her J.D. from Ave Maria School of Law. Samantha is admitted to the Florida Bar and to the Bar of the Illinois Supreme Court, and an active member of several professional and networking organizations in Chicago. Samantha is also the Director of Events for Chicago Financial Women, a NFP organization that is committed to expanding the professional networks of Chicago-area women in the fields of finance and financial services.