EDUCATION

B.S., University of Wyoming

Series 6, 7, 24, 26, 51 & 63 (inactive)

PROFESSIONAL AFFILIATIONS & CERTIFICATIONS

Member, National Society of Compliance Professionals (NSCP)

Co-President, Parent/Teacher Organization (PTO)

Chairman, Heritage School Accountability Committee

Mr. Smith specializes in broker-dealer, investment adviser, investment company, and anti-money laundering regulatory compliance. His consultation services are focused on the areas of regulatory exams, gap analysis, surveillance efforts, compliance manual and written supervisory procedures development, compliance and risk training programs, performance marketing and advertising, compliance testing and mentoring of compliance professionals.

Mr. Smith served as a member of the risk and compliance team at Charles Schwab, where he focused on implementation of an enterprise-level compliance program and related controls. He also assisted with the development and delivery of a firm-wide training program with multiple modules including operational risk, corporate compliance, broker-dealer requirements, financial crimes and information security, training over 20,000 employees. Additionally, Mr. Smith assisted in the development and execution of a firm-wide compliance risk management program pursuant to Federal Reserve Supervisory Letter SR 08-8/CA 08-8, redesigned compliance manuals and assisted with the redesign of a third-party vendor due-diligence compliance program. Prior to Charles Schwab, Mr. Smith was the former Chief Compliance Officer(“CCO”) for RS Investments and the RS family of mutual funds, where he oversaw the compliance and anti-money laundering programs of the investment adviser and investment company. Before that, he served as Director of Distribution and CCO for the broker dealer used to distribute the ETF products at BlackRock, Inc.

Mr. Smith has held various securities licenses including Series 6, 7, 24, 26, 51 and 63 and is a current member of the National Society of Compliance Professionals (NSCP). Mr. Smith has also been a presenter at industry conferences, including IA Watch and he is active in his community, serving as Co-President of his children’s Parent/Teacher organization (PTO) and current Chairman of the School Accountability Committee (SAC).