theresa

Theresa Manderski, CAMSOperations Manager

Theresa J Manderski has over 25 years of compliance and operations experience in both brokerdealer and investment advisory industries. As a seasoned leader she’s held multiple senior compliance roles, including as Chief Compliance Officer (“CCO”) of both brokerdealers and registered investment advisors, with a multitude of regulatory registrations, specializing in areas including AntiMoney Laundering (“AML”) compliance, registration management, complaint resolution, Written Supervisory Procedures (“WSPs”), needs analysis/training, and securities supervision. She has also served as a FINRA Regional Committee Member, FINRA disciplinary panelist, and has presented at regulatory conferences on a wide range of topics including Complex Products, AML, Regulation Best Interest, and DOL PTE 202002.

Over the past two decades, Ms. Manderski has brought her compliance expertise to both midsized and large firms alike, including as CCO, AML Compliance Officer and Chairman of the Risk and Conflict Committees for Davenport & Company LLC,

Ms. Manderski holds the Series 4, 7, 9/10, 14, 24, 50, 53, 63, and 65 FINRA/State licenses. Additionally, she is a Certified AntiMoney Laundering Specialist and has held the CAMS designation for over 15 years.