Ann M Grady


President-Owner, Pyrenees Compliance llc
109 Warren Road
Michigan City, US 46360

Work: 312-907-2117
Cell: 312-907-2117
ann@pyreneesusa.com
Website
LinkedIn

Expertise
FINRA & SEC Rules & Regulations Broker-Dealer Registration Requirements Fiduciary Standard for Broker-Dealers & Investment Advisors BD Main Office, Branches and AML Requirements Securities, Commodities, ETFs, Clearing & Backoffice Management Fees & Related Procedures By Custodians Financial Requirements of Broker-Dealers BD Regulatory Reporting, Surveillance & Supervision Order routing, execution, advertising, customer complaints, Clearing operations and agreements Fraud reviews Compliance Audits, Churning, Failure to Supervise, Misrepresentation Securities, Options, Futures Sales Practice Violations, Branch Supervision U.S. Exchange operations, trading rules and regulations Payment for Order Flow Commission and Expense Sharing Agreements Discovery Records Available From BD and Affiliates

Bio
Experienced Chief Compliance Officer ("CCO"), former regulator and previously registered Principal for a variety of brokerage and advisory firms in the securities and commodities industry serving brokerage firms, market makers, clearing firms and Exchanges during last 35 years. Regulator for 19 years and Chief Compliance Officer for last 11 years with clean regulatory record.

FINRA, NFA & State Licenses: Series 3, 4, 7 Series 14A, 24, 34, (56 waiver), Single Stock Futures Certified and 63 licensed.

Financial services compliance officer with broad expertise in capital markets and broker-dealer regulation, futures and commodities operations, regulation and compliance programs, including registration and regulation of hedge funds, market makers, specialists and clearing firms registered with FINRA, SEC, States, NFA and CFTC. Well-versed in the order routing, order execution, customer suitability, risk and surveillance monitoring, operations and backoffice of a variety of brokerage firms (self-clear or introduce customers on a fully disclosed or omnibus basis and/or dually registered as BD & RIA).

A seasoned Chief Compliance Officer and listed Principal from 2008 through July 2018 while employed with thinkorswim (aka Bellevue - name change when TD Ameritrade purchased), TD Ameritrade,, X-Change Financial Access, and tastyworks, Inc.. Practical experience in preparing and submission of FINRA-SEC-NFA applications for start-ups, mergers, acquisitions, business and clearing conversions and contract due diligence and negotiation. Experience as an Arbitration Expert both as an independent expert and as an internal compliance expert for past employers.

Resume