Hi, I’m
HOPE SANTO
Furlong,PA
Summary
Compliance professional with over 26 years of regulatory experience and in-depth knowledge of legal standards. Proven ability to navigate complex regulatory environments and develop effective strategies to assess and mitigate risk, combined with proactive and analytical approach to problem-solving.
Overview
27
years of professional experience
Work History
U.S. SECURITIES & EXCHANGE COMMISSION
Attorney-Advisor, Division of Examinations
08.1998 - Current
Job overview
- Hired as the first Attorney/Advisor in the Philadelphia Regional Office (PLRO) of the SEC
- Responsible for carrying out the mandate set forth by the National Exam Program, which includes routine audits of SEC registered entities throughout the greater Philadelphia, Virginia, West Virginia, Maryland, Delaware and District of Columbia regions
- Led routine and cause examinations of investment companies, investments advisors, variable insurance products, and transfer agents to determine their degree of compliance with federal securities laws
- Evaluated formal filings with the Commission for adequacy and veracity of disclosures
- Assessed the operational and financial condition of registrants, their procedures for safeguarding client assets, and methods of conducting business with the investing public
- Conducted interviews with senior management of registrants to gain an understanding of their operations and assess risk
- Drafted and edited reports and deficiency letters outlining examination findings
- Recommended appropriate course of action based on examination findings, including enforcement referrals
- Conferred with enforcement staff and other regulatory agencies in pursuance of enforcement matters
- Rendered assistance and advice to members of the investing public and prospective and current registrants with respect to statutes administered by the Commission
- Presented on various regulatory topics to securities industry participants, Commission staff and other agencies at seminars, conferences and in-house meetings
- Consistently recognized for excellent performance throughout 27-year career
- Appointed by Supervisors to participate in selecting and interviewing candidates for examiner and Attorney/Adviser positions
- Recipient of several 4 Pillar Awards for participation in examinations and other initiatives leading to material findings and/or investor refunds
- Assigned as the Philadelphia Regional Office Compliance Liaison Officer which would entail monthly meetings with liaisons from other Regional Offices to discuss compliance highlights and any staff questions or concerns
Education
TEMPLE UNIVERSITY SCHOOL OF LAWPhiladelphia, PA
Juris Doctor
05.1993
University Overview
GPA: 3.2/4.0
TEMPLE UNIVERSITYPhiladelphia, PA
Bachelor of Arts from Criminal Justice
05.1991
University Overview
- Honors: Summa Cum Laude, Dean's List (8 Semesters)
- Activities: Golden Key National Honor Society, Criminal Justice Society, Pre-Law Society
- GPA: 3.8/4.0
Skills
- Legal research
- Comprehensive Document Analysis
- Regulatory Compliance Analysis
- Experienced with Lexis/Nexis Research
- Efficient researcher
Recognition And Leadership
- Consistently recognized for excellent performance throughout 27-year career
- Appointed by Supervisors to participate in selecting and interviewing candidates for examiner and Attorney/Adviser positions
- Recipient of several 4 Pillar Awards for participation in examinations and other initiatives leading to material findings and/or investor refunds
- Assigned as the Philadelphia Regional Office Compliance Liaison Officer which would entail monthly meetings with liaisons from other Regional Offices to discuss compliance highlights and any staff questions or concerns
Timeline
Attorney-Advisor, Division of Examinations
U.S. SECURITIES & EXCHANGE COMMISSION
08.1998 - Current
TEMPLE UNIVERSITY
Bachelor of Arts from Criminal Justice
TEMPLE UNIVERSITY SCHOOL OF LAW
Juris Doctor
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