Compliance Risk Concepts: Senior Compliance Consultants & Executives.
Headquarters: NY
NY Office
Compliance Risk Management Services
  • 40 Exchange Place, Suite 402 New York, New York 10005
  • 646-346-2468
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  • 560 West Washington Blvd. Suite 340 Chicago, IL 60661
  • 312-471-1601
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Becci Sollosy

Senior Regulatory Compliance Professional

Becci Sollosy is an accomplished compliance professional with over 18 years of compliance experience. Becci has broad industry experience and has previously worked at both broker dealers and investment advisers as well as having four years of consulting experience prior to joining CRC. Becci has extensive knowledge of the rules and regulations of the Investment Adviser’s Act of 1940. Her experience includes conducting 206(4)7 annual reviews, compliance forensic testing, developing and managing compliance calendars, reviewing marketing literature, regulatory filings, Code of Ethics compliance, and employee training. Becci holds her FINRA Series 7 and 24 licenses.

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