Maggie Tavares

Maggie Tavares

Maggie Tavares

Sr. Compliance Consultant

  • SEC and State Regulatory Filings and Examinations
  • Risk Assessments, Annual Reviews, and Regulatory Mock Audits
  • Compliance Program Development
  • Testing and Surveillance
  • Compliance Policies and Procedures
  • Compliance Training and Education
  • Advertising and Marketing Reviews

Education

BA, University of California, Irvine

JD, American College of Law

Distinguished Honors/Paralegal, Southern California Business & Law

Professional Affiliations & Certifications

Accredited Investment Fiduciary® (AIF®), Candidate

Formerly FINRA Series 7 and 66, Life/Health, LTC Insurance Licenses & Variable Annuity Contracts

Prior Long-Term Care Ombudsman for CA Department of Aging

Prior Court Appointed Special Advocate (CASA) and Mandated Reporter for Guardianships

South Florida Transition Network Inc., Treasurer

 

Maggie Tavares serves as a Senior Compliance Consultant for Core Compliance & Legal Service, Inc. ℠ (“Core Compliance”). Throughout her career, Ms. Tavares has developed a dedication and thorough understanding of the securities industry and its intricacies. She brings invaluable insight to the Core Compliance team and its clients, aimed at enhancing compliance program structures and increasing awareness of transparency and regulatory requirements.

With 15 years in the securities industry and over 2 decades working within the regulatory landscape, Ms. Tavares has developed her compliance career with a focus on the complexities of the industry. With her substantive knowledge of the Investment Advisers Act of 1940 and understanding of state laws, Ms. Tavares is an excellent mentor and trainer. She also works extensively with C-suite executives and their teams, assisting with identifying risks, managing regulatory scrutiny, and maintaining a customized compliance program. Ms. Tavares applies a distinct pro-business approach of service in developing compliance programs specifically designed for each client firm.

Prior to joining Core Compliance, she was a tenured Director at Foreside Financial. It was there where she took command and delivered invaluable guidance to her clients in addition to authoring industry-related articles and compositions. Within her many years serving as a consultant at Foreside, she provided clients with a robust compliance strategy with an emphasis on fiduciary duty obligations, conflicts of interest concerns, risk management, privacy, and senior investor issues. Other firms she has worked for include Summit Brokerage Services, Inc., LPL Financial LLC, and AIG. Ms. Tavares has an astute dedication to guiding firms to embrace a strong compliance culture in support of investor protection laws. She has found that it is through constant collaboration that a compliance strategy not only becomes a key facet of success for CCOs and their firms, but also a continuous leverage point of growth and innovation within the securities industry. It is her direct approach, in-depth understanding of regulatory compliance, and service dedication that make her an integral part of the Core Compliance team.

Dedicated to Supporting the Strength of Your Compliance Program