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PRACTICE AREAS

• Compliance Programs for Broker-Dealers, Investment Advisers and Private Equity Firms
• Written Supervisory Procedure (WSP) Development and Interpretation
• Annual Compliance Reviews to meet FINRA 3010/3012/3030
• Anti-Money Laundering (AML) / Compliance Program Development and Testing
• Continuing Education Training and Annual Compliance Meeting
• Branch Office Examinations

With more than 10 years in the securities industry, Ms. Bening has extensive compliance experience in all aspects of the broker-dealer, private equity and investment advisory marketplace.  Her specialization in broker-dealer continuing education training and annual compliance requirements, branch office supervision and oversight, evaluation of compliance issues, and managing and responding to SEC, FINRA and state inquiries has proved invaluable to our clientele.  She is instrumental in working with clients to develop customized WSPs, assessing and enhancing surveillance controls, conducting and training on AML audits and mentoring compliance officers and senior management teams on supervision requirements.

Ms. Bening brings expertise from a practical perspective.  Previous to working as a Compliance Consultant with Core Compliance & Legal Services, Inc., Ms. Bening served as the Managing Director & Sr. Vice President of Compliance for Alare Capital Securities, a privately held merchant banking and strategic advisory firm.  Prior to that Ms. Bening’s role as Lead Compliance Examiner and OSJ Supervisor for LPL Financial included surveillance oversight reviews, training and development to new incoming auditors and internal analysts, and regulatory compliance examinations for the Office of Supervisory Jurisdiction (OSJ) branch offices.  Additionally, Ms. Bening has worked as a Financial Advisor at Morgan Stanley and H&R Block.

EDUCATION

B.S., Finance, University of Illinois Champaign – Urbana

SECURITIES LICENSES

Series 7,63,24
Independently studied for Series 27 and 4