- Broker-Dealer and Investment Adviser Compliance
- Regulatory Compliance Operations and Integration
- Regulatory Filings and Registrations Compliance Program Development, Testing, and Surveillance
- Written Supervisory Procedures (WSPs), Training, and Education
Education & Licenses
BA, Pennsylvania State University
Series 4, 7, 24, 63 and Disability Insurance
Suzette Hagan serves as a Compliance Consultant at Core Compliance & Legal Services, Inc. ℠ (“Core Compliance”). Ms. Hagan provides a service-centric approach to compliance, which is propelled by her focus within the compliance technology landscape.
Her professional experience has provided her invaluable insight within the regulatory compliance space. Ms. Hagan’s ability to construct a custom firm-centric compliance program that is based on the growth and goals of the company allows her to provide insight on specific issues and hot topics of the industry, including FINRA compliance, Written Supervisory Procedures (WSPs) development and review, and risk mitigation for the enterprise.
With over 25 years in the financial securities industry, Ms. Hagan has developed her career with an affinity in the broker-dealer and investment adviser space. Throughout her career, she has developed substantive knowledge and experience navigating annual reviews and compliance program deployment, particularly relating to supervisory controls. Suzette is known for her ability to enhance compliance cultures and advancing new regulatory compliance requirements through practical policies and risk mitigation operations. It is her distinct approach to client service, in combination with her knowledge and enthusiasm for finding solutions that make Ms. Hagan an invaluable resource to the Core Compliance team, our clients, and the compliance industry.
Prior to joining Core Compliance, Ms. Hagan was an Associate Compliance Director at Foreside Financial Group, LLC (formerly Cipperman Compliance Services, LLC). Within her role, she began her passion for empowering clients by leveraging and aligning their compliance programs with the use of technology platforms. Prior to Cipperman, Ms. Hagan also held integral in-house roles at various firms, including Pershing, Bank of NY, and American Financial Group. Her insight and in-house experience, coupled with her dedication to guiding firms to embrace a strong compliance culture has been a continuous leverage point of growth and innovation amongst her clients and the industry.