DEANNA HUTCHINSON
Rochester,NH
Summary
Compliance officer with 15 years of experience in the registered investment advisory financial services industry. Skilled in strong communication, analytical thinking, attention to detail, and knowledge of relevant laws and regulations. In collaboration with other departments, had several successful 207(4)-7 audits and SEC examinations. Adept at partnership and cooperation with department heads and peers to problem-solve. Passionate about continuous education and learning. Experienced with regulatory compliance, policy development, and risk management. Utilizes in-depth knowledge to streamline compliance processes and ensure adherence to legal standards. Track record of implementing robust compliance programs that safeguard organizational integrity.
Overview
15
15
years of professional experience
1
1
Certification
Work History
Chief Compliance Officer
Sovereign Financial Group, Inc.
04.2024 - Current
- Company Overview: SFG is a small family-owned financial planning and investment advisory firm; additionally, SFG is a fully-remote company
- Vigorously increased compliance audits and reviews that include but are not limited to: ADV1, 2A, 2B, Form CRS, Policies & Procedures, Code of Ethics, Cybersecurity, Vendor Due Diligence, Branch Office Trade blotter/Trade Error, Valuation, Best Execution, Due Inquiry, AML/CIP, Reg S-ID, Vulnerable Client, Marketing
- Led/managed relationships with outside vendors in compliance and operations
- Implemented a quarterly billing process that resulted in financial advisors receiving quick and accurate payouts
- Collaborated with financial advisors on billing, operations, and compliance, to ensure their business was robust and sound
- SFG is a small family-owned financial planning and investment advisory firm; additionally, SFG is a fully-remote company
Deputy CCO
Sovereign Financial Group, Inc.
01.2024 - 04.2024
- Company Overview: SFG is a small family-owned financial planning and investment advisory firm; additionally, SFG is a fully-remote company
- Developed automated tasks and workflows in billing, operations, and compliance to increase efficiency and reduce errors
- Increased working relationship and generated partnership with all financial advisors and their support staff
- Enhanced layout of CRM so that it was user friendly for financial advisors and their support staff
- SFG is a small family-owned financial planning and investment advisory firm; additionally, SFG is a fully-remote company
Compliance Manager
McNamara Financial Services, Inc.
01.2021 - 01.2023
- Company Overview: MFS is a small, family-owned financial planning and registered investment advisory firm
- Financial Regulatory Compliance
- Orion Advisory Board Representative and company software administrator
- Management of quarterly fee billing, billing refunds, and billing audits
- Custodian Transition Project Manager (TDAmeritrade to BNY Mellon)
- MFS is a small, family-owned financial planning and registered investment advisory firm
Compliance & Operations Manager
McNamara Financial Services, Inc.
01.2010 - 01.2021
- Company Overview: MFS is a small, family-owned financial planning and registered investment advisory firm
- Financial Regulatory Compliance
- Operations / Project Management
- Orion Advisory Board and company software administrator
- Management of quarterly fee billing, billing refunds, and billing audits
- Started as Client Service Associate and became company's Client Service Manager
- Annual Client Appreciation Event
- MFS is a small, family-owned financial planning and registered investment advisory firm
Education
Bachelor of Arts - Business Management & Administration
University of Massachusetts
Amherst, MA12.2024
Skills
- Salesforce
- Orion
- Microsoft 365
- Zoom
- Adobe Editor
- FINRA/EDGAR
- Boxcom
- Teamwork and communication
- Problem-solving / Critical thinking
- Ethics and integrity
- Emotional intelligence
- Regulatory expertise
- Internal auditing
- Compliance monitoring and documentation
- Policies and procedures implementation
- Operations oversight
- Risk assessments
Affiliations
- National Society of Compliance Professionals (NSCP)
- Investment Advisory Association (IAA)
- National Regulatory Service (NRS)
GOALS
Master's of Legal Studies (MLS)
MBA - Finance and Accounting
IACCP (Investment Advisor Certified Compliance Professional)
CRCP (Certified Regulatory and Compliance Professional)
Certification
FPQP (Financial Paraplanner Qualified Professional)
Timeline
Chief Compliance Officer
Sovereign Financial Group, Inc.
04.2024 - Current
Deputy CCO
Sovereign Financial Group, Inc.
01.2024 - 04.2024
Compliance Manager
McNamara Financial Services, Inc.
01.2021 - 01.2023
Compliance & Operations Manager
McNamara Financial Services, Inc.
01.2010 - 01.2021
Bachelor of Arts - Business Management & Administration
University of Massachusetts
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