Financial Services Compliance Consultant
Compliance expertise
built on practice,
not just policy.
Dr. Shawn Bostic helps broker-dealers and investment advisers strengthen compliance programs, prepare for regulatory scrutiny, and make the judgment calls that rulebooks don't answer — drawing on 30+ years in financial services and a doctorate in organizational leadership.
30+
Years in Financial Services
CCO
Chief Compliance Officer Experience
DM
Doctorate in Organizational Leadership
CFE
Certified Fraud Examiner
Compliance Consulting
Financial services compliance expertise — built on three decades of practice
Dr. Shawn Bostic provides compliance consulting to broker-dealers and investment advisers navigating regulatory scrutiny, program gaps, and the judgment calls that rulebooks don't answer. Her work draws on more than 30 years in financial services, including service as Chief Compliance Officer and doctoral research on compliance leadership filed with the U.S. Library of Congress.
Regulatory Examination Preparation
Mock and supervisory examinations that identify gaps before regulators do.
- Mock FINRA and SEC examinations
- Supervisory review and gap analysis
- Pre-examination readiness assessments
- Remediation planning and follow-through
Compliance Program Review & Design
Comprehensive review of written supervisory procedures, policies, and controls — built to reflect your firm's actual business model, not a generic template.
- Written supervisory procedures (WSPs)
- Policies and controls assessment
- Risk-based program design
- Regulatory response support
Investigations & Risk Assessment
Experienced support for internal investigations, risk assessments, and difficult compliance decisions.
- Internal investigations support
- Risk identification and mitigation
- Suitability and supervision reviews
- Governance frameworks and policy
Compliance Training & Development
Training that builds the ability to think, communicate, and lead through situations the manual doesn't cover.
- Compliance staff training and workshops
- AI and technology compliance guidance
- Ethical decision-making frameworks
Serving broker-dealers and investment advisers nationwide.
About Dr. Bostic
Three decades of financial services. A doctorate in organizational leadership. One consistent focus.
Dr. Shawn Bostic began her career in financial services in 1991 and has served as Chief Compliance Officer, conducted regulatory examinations, led internal investigations, and built compliance programs for broker-dealers and investment advisers.
Her doctoral research on compliance leadership is on file with the U.S. Library of Congress. She is a Certified Fraud Examiner and the founder of Bostic Principled Solutions.
Full background
Expertise in Practice
Expertise in Practice
Branch Examinations
FINRA Rule 3110 inspection of OSJ, branch, and non-branch locations for detection of potential violations of applicable securities laws and regulations.
Annual Compliance Review
SEC Rule 206(4)-7 review of compliance policies and procedures and the effectiveness of their implementation.
Supervisory Controls Test
FINRA Rule 3120 test to verify supervisory procedures are reasonably designed with respect to the activities of the broker-dealer and its associated persons.
Work With Dr. Bostic
Is your compliance program ready for what's next?
Whether you're preparing for a regulatory examination, reviewing your supervisory procedures, or navigating a difficult compliance decision — let's talk about what your firm needs.