Adviser Compliance Consulting’s Post

📢 The Surge Ventures team is thrilled to announce the further expansion of our Industry Council, with the addition of four esteemed leaders in the wealth management & FinTech sectors. Please join us in welcoming Tito Pombra, Brian J. Costello, Chip Kispert & Mimi LeGaye to our distinguished council. 👋 Tito Pombra is Founder & President of Adviser Compliance Consulting. With over 25 years of experience in the global asset management industry, Tito is a thought leader in compliance best practices & regulatory exams. He brings invaluable expertise in building strong compliance cultures & supporting financial firms through various regulatory challenges. 👋 Brian Costello is Head of Open Banking Data Strategy and Governance at Morningstar Wealth Platform. Brian is a global expert in data strategy, risk, & governance. He has been a trusted advisor to regulators & policymakers, driving regulatory compliance & standards adherence in the financial data aggregation sector. 👋 Chip Kispert is Managing Partner at Beacon Strategies, LLC. Chip has dedicated his career to the wealth management industry, helping firms achieve their strategic objectives & growth ambitions. He is known for his consulting expertise & the popular Beacon Roundtable Series, fostering collaboration among industry leaders. 👋 Melinda ("Mimi") LeGaye is President and Founder at MGL Consulting LLC., LLC. Mimi has over 40 years in the securities industry, holding various senior positions & numerous FINRA registrations. She consults on compliance, regulatory risk, & cybersecurity for broker-dealers & registered investment advisors. Her expertise includes federal & state regulations, compliance technology, M&A transactions & training programs. 💼 These visionary leaders join our impressive existing Industry Council members, including: Jason Lish (Chairman) - Chief Security Officer, Cisco, Larry Roth CPA, JD, CPA, JD - Managing Partner of RLR Strategic Partners, Neil Daswani, PhD - CISO, QuantumScape, Matthew Martin – Former SVP and Deputy CISO, LPL Financial, Geoff Moore – CIO, Valmark Financial Group, John Rostern – Former SVP and Global Lead - Cloud & Infrastructure Security Services at NCC Group, Nimesh Mehta – Chief Information Officer at National Life Group, Joseph Kuo – CEO & Founder of Haven Tower, and Ann Robinson – Chief Compliance Officer at Farmers Group Insurance & Financial Solutions- No.1 Commercial Lines Insurance Agency in Southern CA. On this exciting news, our Founder & CEO, Sid Yenamandra said: “Our Industry Council is a virtual ‘Who’s Who’ in the wealth management & FinTech industries…” “They each bring years of hard-won knowledge & experience across different aspects of the broad financial services industry we are looking to support with the next generation of technology solutions.” 👉 Please join us in welcoming our new Industry Council members! Visit - https://lnkd.in/gsMvXpNf #WealthManagement #FinTech #Compliance #DataSecurity #RegTech #WealthTech