Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Tracie O’Keefe

Compliance and Financial Operations Professional

Expertise

Tracie is a regulatory compliance professional and registered FINOP with over 15 years of experience in the compliance industry. Her primary focus areas include registered FINOP services, facilitating FINRA new and continuing membership applications, and independent anti-money laundering testings. As a registered FINOP, Tracie maintains net capital compliance and conducts FINRA reporting.

Biography

Tracie started her career in the broker-dealer compliance industry in 2004 with a startup retainer compliance provider. She has experience with registrations, business continuity planning, anti-money laundering, office inspections, membership applications, financial reporting, and examination facilitation.

Tracie received her Bachelor of Arts in Criminal Justice from The Richard Stockton College of New Jersey. She holds the FINRA Series 28 (Introducing Broker-Dealer Financial and Operations Principal) registration.

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