Lisa Reid joins Kaufman Rossin as senior manager in risk advisory services practice

Former FINRA regulator brings compliance expertise to broker-dealer and RIA clients

Kaufman Rossin, the largest independent CPA and advisory firm in Florida and one of the top 100 firms in the U.S., announced the addition of Lisa Reid, CAMS, CFE as a senior manager in the risk advisory services practice. Amongst other areas of services, our risk advisory services provide regulatory compliance consulting services to broker-dealers and registered investment advisers (RIAs).

Reid brings over 20 years of experience in governmental and regulatory compliance environments. Prior to joining the firm, she worked with the Financial Industry Regulatory Authority (FINRA) to conduct quality assurance reviews of business functions on a national level. She also functioned as a Risk Monitoring Analyst with assigned member firms, she conducted ongoing financial and sales practice surveillance by analyzing financial reports, evaluating compliance with FINRA and U.S Securities and Exchange Commission (SEC) regulations, identifying potential financial and operational difficulties, and providing appropriate regulatory responses.

Early in her career, she worked with the New York Stock Exchange (NYSE) where she gained experience as an Examiner reviewing member firms’ compliance with various NYSE and SEC rules and regulations. After leaving the NYSE, she worked as a compliance consultant and outsourced FINOP working with various broker-dealers by generating financial statements, net capital computation, FOCUS II/IIA reports, and overall financial accuracy. She also conducted annual anti-money laundering (AML) program reviews to evaluate compliance with FINRA and SEC rules and regulations.

In her current role, Reid helps clients mitigate risks by advising broker-dealers and investment advisers on various quality assurance, risk advisory, industry regulations, and compliance requirements. She advises on AML compliance, supervisory controls, FINRA membership applications, and various FINRA and SEC compliance matters.

Reid is a Certified Fraud Examiner (CFE) and Certified Anti-Money Laundering Specialist (ACAMS). She graduated from Howard University’s School of Business in Washington, D.C., with a degree in Business Administration.