I am the Chief Compliance Officer for Lara, May & Associates, LLC, a fully disclosed introducing broker/dealer and XML Financial Group, an independent wealth management firm. I am responsible for managing both firms’ compliance infrastructures. I joined the securities industry in 2000. I previously worked in the internet technology sector where I had experience in ecommerce, hosting and product development. I held many positions at LMA. However, as the securities industry when through significant changes with higher regulatory demands I took on more compliance and marketing roles, serving as the Chief Administrative Officer. In 2011, I became a senior level executive and Chief Compliance Officer.
In 2012, I completed the Certified Regulatory and Compliance Professional (CRCP)® Program previously through the FINRA Institute at Wharton. The program was delivered through the Wharton School at the University of Pennsylvania. It provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation. I am an active participant in various industry regulatory conferences and educational opportunities.
In addition to my role as the Chief Compliance Officer, I am a Financial Operations Principal (FINOP) and hold the FINRA series 6, 7, 14, 24, 28, 63, 65 and 99. In 2018, I became a non-public FINRA Dispute Resolution Arbitrator, having qualified through the National Arbitration and Mediation Committee. In 2019 I was appointed by FINRA to serve out a two year term on the Small Firm Advisory Committee.
I am a graduate from the University of Rhode Island with a Bachelor of Science. In my spare time, I enjoy treasured time with my husband and kids, and can’t turn down a pick-up game of volleyball.