Apryl Thompson

Apryl Thompson serves as a Compliance Consultant at Core Compliance & Legal Services, Inc. ℠ (“Core Compliance”). In her role as a Compliance Consultant, Ms. Thompson provides a hands-on approach to our clients’ compliance programs and brings two decades of broker-dealer expertise, making her an invaluable asset to the Core team.

Ms. Thompson’s professional experience has afforded extensive exposure to all aspects of the broker-dealer compliance space, as well as years of visibility into registered investment adviser compliance matters. Her ability to implement and execute on business-focused compliance programs, based on the growth and goals of the firms that she’s worked for, positions her very well to provide guidance on a wide array of compliance issues, including FINRA compliance, Written Supervisory Procedures (WSPs) development and review, and enterprise-wide risk assessment and mitigation.

With over 20 years in the financial securities industry, Ms. Thompson has developed an impressive skill-set with a specialization in the FINRA broker-dealer space, along with a growing focus on investment adviser compliance. Throughout her career, she has developed significant hands-on experience handling regulatory examinations, conducting annual reviews, in addition to developing and implementing written supervisory procedures and controls. Apryl has spent extensive time in her career on enhancing compliance cultures by collaborating extensively with senior management and demonstrating her regulatory compliance knowledge. It is this aspect of her resume, in combination with her enthusiasm for finding business-friendly solutions that make Ms. Thompson a key part of the Core Compliance team and valuable asset to our clients.

Prior to joining Core Compliance, Ms. Thompson was the Director of Compliance at Altegris where she oversaw and supervised the day-to-day operations of the Firm’s sales and distribution teams and managed the Altegris broker-dealer’s compliance program. This included the supervision of registered representatives’ recommendations and sales of both privately-offered unregistered and publicly-offered registered alternative investment products. Ms. Thompson served in this capacity at Altegris for over 11 years. Prior to joining Altegris, Ms. Thompson led compliance, supervision and operations teams at various broker-dealer firms. All told, Ms. Thompson has over 20 years of compliance supervision experience with limited purpose and full service broker-dealer firms, including experience in the areas of AML compliance, operations and trading, registration and licensing, training and branch office supervision, and clearing operations and systems, across retail and institutional sales channels offering both private and public securities.