Kaufman Rossin Expands Risk Advisory Services with Stephanie Richards

Kaufman Rossin, one of the top 50 CPA firms in the U.S., continues the expansion of its risk advisory services practice with the addition of Stephanie Richards as a manager.

A former regulator, Richards brings 10 years of experience in operational, regulatory, compliance, audits, and business process control reviews with the Financial Industry Regulatory Authority (FINRA). She has advanced knowledge and understanding of financial markets, industry regulations and compliance requirements, as well as securities industry systems, operations, controls and processes with proven record of exceeding performance expectations.

In her new role, Richards provides compliance solutions, including annual compliance reviews, anti-money laundering independent testing, supervisory control risk assessments, fraud investigations, and customized compliance or product reviews. She also assists clients with broker-dealer and investment adviser registration with FINRA, the states, and the Securities and Exchange Commission (SEC).