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ALEXIS VANDEN BOS

Compliance

Alexis is a compliance consultant providing services to RIA Innovations. She has over 30 years of experience in the financial industry with both broker-dealers and registered investment advisers. Her broad experience covers a wide variety of areas including sales, operations, supervision and compliance. 

Prior to consulting, her previous role was as the Chief Compliance Officer of a dually registered broker-dealer and investment adviser. She has worked closely with regulatory authorities, Federal, State and FINRA, while managing regulatory audits and inquiries for both broker-dealers and registered investment advisers.  She is a past elected member of the FINRA District Committee and still serves on FINRA disciplinary hearing panels.  Alexis also competes nationally and internationally in the sport of Lawn Bowling.