Shawn Wilson

Consultant

Shawn Wilson currently serves as a Consultant at NCS Regulatory Compliance. Shawn provides compliance consulting to investment adviser clients which may include providing advice and guidance on firm and individual registrations, examinations, firm policies and procedures, federal and state regulatory rule interpretations, and risk assessments. Prior to joining the firm, Shawn was a Securities Compliance Examiner with the Pennsylvania Department of Banking and Securities, Bureau of Securities Compliance and Examinations division, and is a past member of the North American Securities Administrators Association. During his time as an examiner, Shawn was responsible for conducting examinations, drafting deficiency notices, enforcement, and investigations. Prior thereto, he was the owner / Chief Compliance Officer of his own RIA firm. Shawn maintained and implemented the firm’s compliance program and managed the regulatory requirements including: drafting the firm’s Form ADVs, contracts, code of ethics, and privacy policy. Over the course of his career, he has worked as an Investment Adviser Representative with several large broker-dealers. Shawn received his Bachelors from the Pennsylvania College of Technology with a major in Business Administration and previously held the Series 7, 66 and LHA licenses.

 

Direct: (561) 570-1831 | Email: swilson@ncsregcomp.com