Virginia Voos is Senior Compliance Consultant B/D Compliance Associates, Inc. She maintains her FINRA Series 7, 24, 28, 79, 99 and 63 registrations. Ms. Voos holds numerous designations including Certified Regulatory Compliance ProfessionalTM, Certified Fraud Examiner, Certified Financial Crimes Specialist and Certified Securities Compliance ProfessionalTM.
Ginny's career in the securities industry started in 2001 as Operations Manager for an Atlanta based Hedge Fund. She was instrumental in forming a new broker dealer to service trading for the hedge fund and worked as CCO and COO for the affiliated broker/dealer under 2007. Through her role at B/D Compliance Associates, Ginny serves as Compliance Officer and FINOP for several small firms.
Ginny's compliance expertise includes trading, variable products, mutual funds, sales practices, financial books and records, back office operations and anti-money laundering. She works with our clients on special ad hoc projects, new FINRA b/d applications and independent compliance and AML audits.