Our Team

The NCS Regulatory Compliance Team

Our team has more than 25 years of compliance expertise. You can trust our staff of former regulators and compliance officers to deliver a full range of on- or off-site registered investment adviser and broker-dealer registration and compliance services. With the proactive and dedicated support of more than 80 compliance professionals, including over 60 consultants and associates, we are well-positioned to keep your compliance program running smoothly.

Support

Michelle Desmarais Administrative Assistant

Adam Dodge IT Systems Administrator

Kristen Hargreaves Operations Coordinator

Maureen Harms Junior Financial Analyst

Derrick Mathews IT Director

Dawn Minton Senior Financial Analyst

Wendy McCarthy Executive Assistant