Chief Compliance Officer
Confidence, Connectivity, Communication
With over sixteen years of experience optimizing and influencing policy, process, and systems Margaret is responsible for actively maintaining a robust compliance program that serves GM Advisory Group’s clients. Before joining GMAG, Margaret was the Chief Compliance and Operations Officer for an independent advisory firm, where her key role was to strengthen and oversee compliance and operational systems and processes. She also brings her experience as a General Securities Principal, managing operations and risk functions for trading and operations in the institutional space.
Margaret serves as a compliance shepherd to the staff at GMAG, where she maintains up-to-date policies aligned with current and developing advisory regulations, ensures free and open communications within the practice, delivers education programs, and consistently reviews adherence to policies. Her efforts create the framework for each team member to put our clients interest first.
Margaret’s passion for governance and policy along with her care for the investor complement GMAG’s fiduciary obligation, culture of intellectual tenacity, conscientiousness, and diversity of experience and background.