Christine CornejoManaging Director
- Broker-Dealer Litigation and Consulting
- Broker-Dealer Compliance
- Regulatory and Internal Investigations
- Employment and HR Issues
Christine has more than 30 years of financial services industry experience, specializing in the reduction of regulatory risk associated with regulatory reporting, operational workflow processing and data analysis. Having managed various business lines as a senior manager, she provides end-to-end problem analyses and solutions that meet the regulatory and business needs of clients.
Most recently, Christine served as Director, Compliance and Regulatory at Thomson Reuters, managing that firm’s Wealth Management Compliance department, while providing several of the nation’s largest broker-dealers with guidance for regulatory reporting and books and records requirements.
Additionally, Christine has managed compliance departments for Washington Mutual and Wachovia Securities. Christine has held the Series 3, 4, 7, 8, 14, 24, 27, 30, 63 and 65 securities industry licenses.
Address: 1530 East Dundee Road, Palatine, IL 60074