Ann M. Griffith

Ann Griffith

Ann has more than 20 years of expertise in senior regulatory, compliance and legal counsel roles in the financial services industry. She brings extensive experience in investment advisor, broker-dealer,capital markets, and international regulatory and compliance matters. In addition to her senior roles with the World Bank, FBR Capital Markets, and Credit Suisse, Ann's extensive experience includes serving as counsel in various positions with FINRA and the SEC. Ann has worked with broker-dealers and investment advisors developing and implementing compliance programs and providing advice on supervisory and registration issues, as well as drafting Written Supervisory Procedures and policies and procedures. In addition to several securities industry licenses, Ann holds a Bachelor of Arts (English Literature) and Juris Doctor degrees from the University of Illinois.