RIA Innovations hires high caliber employees who work with advisors in order to ensure a smooth transition. We have an excellent team with extensive experience in the financial services industry. Our employees are fully set up with capabilities to engage with advisors whether they are physically present or virtual.
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.