Karen Steighner

Knowledgeable Securities Professional with solid track record in executive leadership, steering financial services companies toward ethical growth and innovative compliance solutions. Accomplished Compliance Executive has extensive knowledge of securities laws as well as broker dealer, adviser, and private & public fund regulations. Recognized for exceptional leadership in securities regulation consulting in an ever-changing regulatory environment with proven success in designing customized compliance and supervisory programs for broker dealers, investment advisers and funds. Executive-level direction, supervision and oversight of enterprise-wide audits, risk assessments, investigations and compliance reviews. Chief Transformational Officer leading corporate change strategy. Culture of excellence through corporate-level vision, direction and inspiration, to promote motivation and results. Design sophisticated risk-based client solutions to complex regulatory compliance challenges. Achieved 400% increase in consulting sales revenues in four years.

Proven ability to implement strategic initiatives and improve operational efficiencies. Demonstrated excellence in team collaboration and strategic decision-making.

• Compliance Consultant : Leading the development and distribution of customized compliance guidance and solutions to members of the securities industry; numerous engagements in oversight of complex ethical sales practices, supervision, and operations; Develop and manage mock examinations using exceptional intuitive and pragmatic fraud analysis and detection skills. Excellent communicator – complex, controversial issues with senior management and other industry professionals.
• Chief Compliance Officer: Engaged to manage or provide senior management of client companies (broker/dealers, investment advisers and investment companies) with expert guidance to maximize effectiveness and integrity of the organization's overall compliance with SEC laws, FINRA and other SRO Rules and State regulations.
• Financial & Operations Principal (FinOp) /CFO : Engaged by client companies to evaluate, monitor and maintain firm capital compliance with Exchange Act Rule 15c3-1 and/or reserve computation(s) under Exchange Act Rule 15c3-3; Analyze unique financial issues of numerous broker/ dealers, provide expert guidance regarding compliance with SEC and FINRA Financial Rules and Regulations, write No-Action letters and representing clients in discussions with senior level members of the SEC and FINRA regarding unique financial issues and challenges.
• FinTech Compliance : Hired by major international software development company to review archiving and other industry solutions for compliance with SEC regulations and FINRA Rules; Hired by largest retirement services company in the U.S. to review and analyze its current manual financial data mapping processes and assist in the development of a more cost-effective and efficient method of electronically collecting data provided by its clearing firm and streaming it seamlessly into its general ledger and regulatory Focus filings.
• Expert Witness: Hired by Plaintiff's counsel to review, analyze and provide expert witness testimony regarding investment adviser's lack of internal controls in civil securities fraud case.

• Series 7, 24, 27, 63, 79, 99 and SIE; Series 65 (Previously Expired, Retake Scheduled)
• FINRA Certified Registered Compliance Professional (CRCP) –Part II Candidate (Part I Complete)
• Certified Securities Compliance Professional (CSCP) Designation Candidate
• Certified Fraud Examiner Candidate
• SEC's CCO Compliance Outreach Program
• Denver NSCP Compliance Roundtable Speaker, Participant
• National NSCP Member, Presenter, Compliance Panelist