Connie Grosser, Chief Compliance Officer, is responsible for developing, maintaining, managing, and monitoring regulatory compliance programs for a FINRA registered broker-dealer and a SEC Registered Investment Advisor. Connie ensures the adequacy of the firm’s compliance policies and procedures and the effectiveness of their implemenation. She defines compliance standards via policies and procedures, training, auditing and monitoring, facilitating internal reporting, managing regulatory examinations, and keeping senior management informed on relevant compliance matters.