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Lauren advises broker-dealers and investment advisers on formation, compliance, and enforcement issues arising from SEC regulations and related FINRA rules. She also guides clients through examinations and membership applications and develops compliance programs to ensure adherence to regulations and best practices.
Lauren spent five years in the financial services regulatory advisory practice at a Big Four professional services firm, where she advised asset managers, broker-dealers, financial institutions, and global investment banks on the impact of new and existing rules and regulations. She assisted with designing and implementing enhanced regulatory compliance programs as required by the SEC, FINRA, Federal Reserve, and OCC. She also conducted compliance and risk assessments; performed mock exams; prepared FINRA new and continuing member applications; and developed governance, supervisory, and operational processes for new products, including fixed income trading and sales, equities, and mutual funds.
During law school, Lauren interned at FINRA in New York, where she performed preliminary investigations of sales practice customer complaints regarding subjects such as churning and suitability. She also made recommendations on referrals to FINRA’s Enforcement Division.