I am the Chief Compliance Officer for Lara, May & Associates, LLC, a fully disclosed FINRA Member, introducing broker/dealer and XML Financial Group, an independent wealth management firm. I am responsible for managing compliance infrastructures for both firms. 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 the broker/dealer. As the securities industry when through significant changes with higher regulatory demands I took on more compliance and corporate roles, serving as the Chief Administrative Officer. In 2011, I became a senior level executive and Chief Compliance Officer.
In 2012, I completed FINRA’s Certified Regulatory and Compliance Professional (CRCP)® Program. The program I attended was delivered through the Wharton School at the University of Pennsylvania. The CRCP Program 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 the Principal Financial Officer and hold the FINRA series 6, 7, 14, 24, 28, 53, 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.