Overview
Lisa Reid is a Senior Manager in Kaufman Rossin’s Risk Advisory Services practice. She helps clients mitigate risks by advising broker-dealers and investment advisers on various quality assurance, risk advisory, industry regulations, and compliance requirements. Lisa advises on anti-money laundering compliance, supervisory controls, FINRA membership applications, and various FINRA and SEC compliance matters.
Lisa has over fifteen years of experience in governmental and regulatory compliance environments. Before joining Kaufman Rossin, she worked with the Financial Industry Regulatory Authority (FINRA) to analyze quality assurance review programs on a national level. Additionally, she contributed to the department’s annual examination by preparing risk-based examination planning. Finally, as a liaison 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), establishing her experience as a Financial/Operational examiner. Additionally, after her time with the NYSE, she gained experience as a consultant working with various broker-dealer clients on the FINOP and regulatory side 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 the USA Patriot ACT and National Association of Securities Dealers FINRA Rule 3310 and compliance with FINRA and SEC rules and regulations.
Lisa is a Certified Fraud Examiner (CFE) and Certified Anti-Money Laundering Specialist (ACAMS). She graduated from Howard University’s School of Business in Washington, DC, with a degree in Business Administration.
Read More
Early in her career, she worked with the New York Stock Exchange (NYSE), establishing her experience as a Financial/Operational examiner. Additionally, after her time with the NYSE, she gained experience as a consultant working with various broker-dealer clients on the FINOP and regulatory side 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 the USA Patriot ACT and National Association of Securities Dealers FINRA Rule 3310 and compliance with FINRA and SEC rules and regulations.
Lisa is a Certified Fraud Examiner (CFE) and Certified Anti-Money Laundering Specialist (ACAMS). She graduated from Howard University’s School of Business in Washington, DC, with a degree in Business Administration.
Education
Bachelor of Business Administration, Howard University School of Business
