Priya RavishankarCompliance Officer

Priya Ravishankar is an experienced compliance professional with over 20 years of diverse experience in the financial industry and expertise in regulatory oversight, risk management, and financial compliance. She served as the Chief Compliance Officer at Carta Capital Markets, LLC, where she led the compliance program for the fintech broker-dealer that operated an alternative trading system (ATS) facilitating trading in private company securities. During her tenure, Ms. Ravishankar managed key regulatory relationships with FINRA and the SEC, designed internal processes to ensure regulatory adherence, and played a critical role in establishing compliance frameworks, managing testing and training programs, and ensuring the firm’s policies evolved with regulatory changes.

Earlier in her career, Ms. Ravishankar was a registered representative at Mutual Securities, Inc., where in addition to providing services to institutional and retail clients she developed internal compliance procedures, managed conflicts of interest, and oversaw anti-money laundering (AML) and Know-Your-Customer (KYC) obligations. Additionally, she served as Senior Compliance Officer and Director of Investment Operations at Steel Partners Holdings LP, overseeing both investment and compliance programs, and partnering cross-functionally on SEC filings and regulatory inquiries. Her deep experience across compliance, trading, and risk management is complemented by her certifications in anti-money laundering (AML) and extensive industry licensing. Ms. Ravishankar holds her Series 7, 14, 24, 57, 63 and 99 licenses, is a Certified Anti-Money Laundering Specialist (CAMS) and received her BA from NYU.