10 compliance consultants

Experience: Chief Executive Officer · Griffith Compliance Consulting LLC

Chief Executive Officer of Griffith Compliance Consulting LLC since 2024, and former Managing Director at Oyster Consulting, LLC (2011–2024). The profile also lists Deputy General Counsel and Director of Regulatory Affairs and Compliance at FBR (2005–2010), Associate Vice President at NASD (2002–2005) and a Deputy Director of Compliance role at Credit Suisse.

Experience: Compliance Consultant · Chenery Compliance Group

Compliance Consultant at Chenery Compliance Group since 2023, and Founder of Dempsey Compliance Consulting since 2026. Her profile says she helps registered investment advisers build, implement and strengthen compliance programs, including SEC and state investment adviser registration. She was also Senior Director at ACA Foreside (2014–2022) and at ACA Group (2022–2023).

Experience: Owner CEO Consultant · Compliance Counsel LLC

Owner CEO Consultant at Compliance Counsel LLC since 2004; the profile describes the firm as a regulatory compliance consulting firm providing governance, risk management and compliance (GRC) consulting, and says Joy provides consulting services and is licensed to practice law in New York and New Jersey. She was also Sole Proprietor - Consultant at Compliance Counsel Consulting (1997–2004) and Vice President - Compliance at Chase Securities Inc. (1992–1997).

Experience: Vice President, Head of Compliance Advisory Services · Spark Compliance Consulting, a Diligent brand

Vice President, Head of Compliance Advisory Services at Spark Compliance Consulting, a Diligent brand, since 2025, and the firm's former Founder and CEO (2016–2025). Her profile describes her as a compliance and data privacy thought leader specializing in transforming compliance departments into business assets. She was Chief Compliance Officer at United International Pictures (2014–2016).

Experience: Consultant · Audit and Compliance Cornerstone LLC.

Consultant at Audit and Compliance Cornerstone LLC since 2025; the profile describes a compliance consultant and former OCC examiner specializing in designing and implementing enterprise-wide compliance and risk management frameworks in banking and financial services. It also lists Senior Lead Compliance Officer, Wealth and Investment Management and Commercial Banking at Wells Fargo (2019–2025) and National Bank Examiner at the Treasury Department (OCC) (2001–2006).

Experience: Executive Compliance & Regulatory Risk Advisor (Consulting) Governance, Surveillance & Controls · TPG Consulting

Executive Compliance & Regulatory Risk Advisor (Consulting) Governance, Surveillance & Controls at TPG Consulting since 2026; the profile says she serves as a senior advisor to executive leadership and control functions on regulatory strategy, governance and risk frameworks. She was Independent Compliance & Risk Strategy Consultant (2011–2023) and Global Control Room Officer (Americas) at Credit Suisse (2023–2024).

Experience: Compliance Services Leader Chief Compliance Officer · SRA Consulting, LLC

Compliance Services Leader Chief Compliance Officer at SRA Consulting, LLC since 2024. His profile says that as a management consultant he builds systems that support growth, preserve value and instill compliance in the culture of financial organizations. He was also Managing Director Regulatory and Risk Advisor to Fintechs & 400B Banks at Dixon Hughes Goodman LLP (2018–2021) and Director Financial Services Industry Regulatory and Risk Consulting at Navigant (2015–2018).

Experience: President · PORTIA Compliance Consulting, LLC

President of PORTIA Compliance Consulting, LLC since 2025; her profile describes it as a boutique regulatory and compliance advisory firm serving investment advisers, private fund advisers and foreign advisers. She has also been Executive Director at Waystone Compliance Solutions since 2026, and was Practice Lead - US at Ocorian (2024–2025) and Managing Director at IQ-EQ (2022–2024).

Experience: CEO at Northpoint Regulatory & Compliance Consulting · Northpoint Regulatory & Compliance Consultants

CEO at Northpoint Regulatory & Compliance Consulting since 2020; the profile describes the firm as a compliance consulting firm specializing in broker/dealer and investment adviser compliance under SEC and FINRA regulations. The profile also lists Director Of Compliance at Securities Compliance Management (2006–2020) and Senior Compliance Examiner at FINRA (1999–2003).

Experience: Chief Compliance Consultant & CEO · GX Compliance

Chief Compliance Consultant & CEO of GX Compliance since 2017. The profile says she established a compliance consulting company in China and has led more than 10 internal and external companies in building up compliance structures. It also lists Local Compliance Officer & Industry Sector Data Privacy Advisor at Siemens (2012–2014) and Channel Management Specialist (Compliance & Operation) at GE HealthCare (2010–2012).