Tanya Pinard serves as a Compliance Associate with the Investment Adviser Services team. She supports the compliance consulting needs of investment adviser clients by completing regulatory filings, interpreting SEC and state regulations, developing program deliverables, and investigating investment adviser related compliance questions or issues. Prior to joining NCS Regulatory Compliance, Ms. Pinard worked for Lincoln Financial Group/Network as a Business Systems Analyst and as a Compliance Business Analyst where she was responsible for reviewing representative’s affiliation requests with the broker-dealer, amending and filing U4 and U5’s, submitting regulatory filings through the CRD system, responding to state letters regarding disclosures and deficiencies, managing the continual education program, and completing quarterly Written Supervisory Procedure review. Ms. Pinard has earned a B.S. in Business Administration with a concentration in Industrial Organization Psychology and is pursuing her MBA from Southern New Hampshire University. Currently she holds her Series 6 and 26 licenses and LOMA (Life Office Management Association) Certificate in Regulatory Compliance Essentials, ALMI (Associate, Life Management Institute) and ACS (Associate, Customer Service) designations.
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