Maggie Tavares, AIF®

Maggie Tavares

Maggie Tavares, AIF®

Sr. Compliance Consultant

  • SEC and State Regulatory Filings and Examinations
  • Risk Assessments, Annual Reviews, and Regulatory Mock Audits
  • Fiduciary Obligations, Conflict of Interest, and ERISA
  • Compliance Program Development
  • Testing and Surveillance
  • Compliance Policies and Procedures
  • Advertising and Marketing Reviews
  • Cybersecurity and Data Protection
  • Compliance Training and 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®)

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

Women's Connection, Treasurer, South Florida Chapter


Maggie Tavares serves as a Senior Compliance Consultant for Core Compliance & Legal Service, Inc. SM (“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 18 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 current regulatory changes within the industry. With her substantive knowledge of the Investment Advisers Act of 1940 and understanding of state laws, Maggie 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 Adviser Compliance Associates, LLC (formerly known as Foreside Financial) dba ACA Group. 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, she provided robust compliance strategies 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 demonstrated an astute dedication to guiding firms to embrace a strong compliance culture that supports investor protection laws. With consistent collaboration a compliance strategy not only becomes a key facet of success for CCOs, but also provides leverage for growth and innovation within the securities industry. Her direct approach and in-depth understanding of regulatory compliance coupled with her stellar service dedication is why she is an integral part of the Core Compliance team.

Dedicated to Supporting the Strength of Your Compliance Program