Stephanie Richards, CAMS

Principal, Broker-Dealer & Investment Adviser Services

Boca Raton

(561) 620-1741

Overview

As a principal in Kaufman Rossin’s Risk Advisory Services practice, Stephanie 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 – Stephanie helps clients manage risk and navigate a variety of challenges.

Stephanie advises clients on annual compliance reviews, anti-money laundering independent testing, supervisory control risk assessments, fraud investigations, customized compliance and product reviews. In addition, Stephanie 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).

Before joining Kaufman Rossin in 2015, she served at FINRA for a decade as a principal regulatory coordinator and risk analyst. While at FINRA, Stephanie 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.

Stephanie leads the Employee Resource Groups committee for the firm's Diversity, Equity & Inclusion Council. She is fluent in English and Creole.