Stephanie Richards promoted to risk advisory services principal at Kaufman Rossin 

Stephanie Richards, CAMS | Press Release | June 23, 2023

Kaufman Rossin, the largest independent CPA and advisory firm in Florida and one of the top 100 firms in the U.S., announced the promotion of Stephanie Richards, CAMS to principal in the Risk Advisory Services practice.

Richards cultivates strategic compliance solutions for broker-dealers and registered investments advisers. With her advanced knowledge and understanding of financial markets, industry regulations and compliance requirements – in addition to securities industry systems, operations, controls and processes – she helps clients manage risk and navigate a variety of challenges.

She advises clients on annual compliance reviews, anti-money laundering (AML) independent testing, supervisory control risk assessments, fraud investigations, customized compliance and product reviews. In addition, she assists clients with broker-dealer and investment adviser registration with the Financial Industry Regulatory Authority (FINRA), the states, and the Securities and Exchange Commission (SEC).

Prior to joining the firm, Richards served at FINRA for a decade as a principal regulatory coordinator and risk analyst. She worked in the Membership Application Program (MAP) department and was directly responsible for investigating the context of new and continuing membership applications, risk areas of broker-dealers and allegations of wrong-doing or other non-compliant conduct to protect investors and the integrity of U.S. financial markets.

“We are excited to have Stephanie join our Principal group,” says Bao Nguyen Principal and Investments Practice Leader. “As a Principal in our Risk Advisory Services practice, Stephanie will continue to lead our efforts in serving our broker-dealer and investment adviser clients and help them identify and mitigate compliance risks.”

Richards leads the Employee Resource Groups committee for the firm’s Diversity, Equity and Inclusion (DEI) Council and earned her Bachelor of Arts in Criminal Justice from Florida Atlantic University.

Stephanie Richards, CAMS, is a Broker-Dealer & Investment Adviser Services Principal at Kaufman Rossin, one of the Top 100 CPA and advisory firms in the U.S.