Amy is a seasoned financial services professional with more than 28 years of experience in office management, financial services administration, compliance oversight, and advisor support. She has demonstrated leadership in branch inspections, advisor training and practice oversight, compliance program development, supervisory and OSJ support, regulatory exam preparation and process improvement.
Prior to joining Essential Edge, Amy served as Manager of Branch Inspections and Compliance Generalist at International Financial Group, where she spearheaded
the redesign of the branch inspection program and implemented the 2024 FINRA
Remote Inspection Pilot. Amy developed and managed the annual inspection schedule for remote and onsite audits. In this role she also supervised and mentored a team of three inspectors, conducted regular coaching sessions and served as a compliance resource to advisors and home office staff on complex regulatory matters. In addition, she supervised RegEd platform use and optimization.
Previously, Amy conducted branch inspections s as Compliance Officer for M Financial – Wealth Solutions, where she also reviewed marketing and correspondence materials.
As Client Services Manager and OSJ Delegate, she reviewed new account paperwork, financial plans and advertising at Cetera Advisor Networks. She supported annual inspections and managed insurance quoting, applications, payroll preparation, and general client servicing.
Previously, she served as a Registered Assistant at Guardian Financial Group.
Amy holds FINRA Series 7, 66, 24 and 53 licenses.
