Meet Sophia

Sophia is a legal and compliance professional with more than 15 years advising RIAs, broker-dealers, and mutual/private funds on SEC, FINRA, and CFTC matters.

At Essential Edge, Sophia is collaborating with Essential Edge’s Managing Director on a cutting-edge solution for the new AML requirement for RIAs. She has supported broker-dealer and RIA regulatory programs, including annual FINRA Rule 3130 reviews, AML testing, and preparation of reports and corrective action plans to address regulatory findings. Sophia has also developed and implemented remediation strategies for Essential Edge clients and provided litigation support in connection with regulatory matters.

A former Chief Compliance Officer and legal lead, she builds practical, risk-based programs, 206(4)-7 testing and Code of Ethics. In addition, she has guided firms through SEC/FINRA exams, provides litigation support, and supports formations, filings, and fund governance.

An NYU alumna, she obtained a J.D. from Hofstra Law and is admitted in New York. Sophia has held FINRA Series 7, 24,
and 66 licenses.

Outside work, Sophia enjoys traveling, pilates, and time with her family and two cats.