Deb Connor offers a distinctive combination of legal expertise and regulatory insight in her role as Senior Compliance Officer. With 15 years of financial compliance experience and 13 years as a paralegal specializing in corporate and securities law, she excels in identifying compliance risks, managing audits and examinations, and navigating intricate regulatory frameworks. Her diverse skillset positions her as a valuable asset in ensuring regulatory adherence and mitigating risk.
Prior to joining My RIA Lawyer, Deb served as Director of Compliance for a registered investment advisor, where she oversaw the firm’s compliance program, ensuring adherence to SEC and state regulations. In this role, she led compliance audits, managed regulatory examinations, and implemented policies to mitigate risk and maintain operational integrity. Deb’s proactive approach and in-depth understanding of corporate and securities law have consistently supported the organizations she works with in maintaining strong regulatory practices and achieving business objectives.
Outside of work, Deb enjoys hiking, yoga, cooking, knitting, and woodworking. These hobbies allow her to stay active, creative, and balanced, bringing the same level of focus and dedication to her personal life as she does to her professional career. Whether on a trail or crafting a new piece, Deb appreciates the opportunity to unwind and explore new challenges outside the office.
