About
Shawn Bostic, DM, CFE
Compliance experience built on practice, not just policy.
Biography
Courage. Humanity. Authenticity.
Dr. Shawn Bostic is the Founder and Managing Principal of Bostic Principled Solutions, a financial services compliance consulting firm serving broker-dealers and registered investment advisers.
With more than 30 years of experience in financial services, Dr. Bostic has worked across compliance leadership, regulatory examinations, supervision, investigations, risk assessment, and compliance program development. She has served as a Chief Compliance Officer and in senior regulatory compliance leadership roles, giving her firsthand experience with the responsibilities, competing priorities, and judgment calls that come with operating an effective compliance program.
Her experience includes preparing firms for FINRA and SEC regulatory examinations; conducting branch and supervisory reviews; evaluating written supervisory procedures and compliance policies; performing annual compliance reviews and supervisory control testing; managing internal investigations and customer complaint processes; assessing regulatory and operational risk; and developing remediation strategies when weaknesses are identified.
That experience shapes the way Bostic Principled Solutions approaches consulting engagements. The objective is not simply to determine whether a policy exists. It is to understand how the firm actually operates, examine whether its procedures and controls are working as intended, identify areas of regulatory or supervisory risk, and provide clear, defensible findings that management can act on.
Dr. Bostic understands what a Chief Compliance Officer needs from an outside consultant: someone who can enter an organization, understand its business model, independently evaluate the evidence, ask the difficult questions, and produce work that can withstand regulatory scrutiny.
Her consulting work is particularly focused on broker-dealers and investment advisers that need experienced support with examinations, independent testing, compliance program reviews, risk assessments, investigations, and complex compliance projects without adding permanent staff.
Focus Areas
- FINRA & SEC Examinations
- Supervisory Controls Testing
- Compliance Program Reviews
- Professional Development
- Risk Assessment & Remediation
- Compliance Training & Development
Roles & Expertise
Consultant
Experienced compliance consulting for broker-dealers and registered investment advisers.
Former CCO
Firsthand experience as a Chief Compliance Officer and senior regulatory compliance leader.
Experienced Examiner
Performing compliance examinations since 1993.
CFE
Certified Fraud Examiner with deep experience in investigations and misconduct review.
Areas of Compliance Experience
Where the Work Lives
FINRA Rule 3110 Branch Examinations
Risk-based inspections of OSJ, branch, and non-branch locations, including evaluation of supervisory practices and potential regulatory concerns.
FINRA Rule 3120 Supervisory Controls Testing
Independent testing of supervisory procedures and controls to determine whether they are reasonably designed and functioning as intended.
SEC Rule 206(4)-7 Annual Compliance Reviews
Assessment of investment adviser compliance policies, procedures, implementation, testing, and identified risks.
Regulatory Examination Readiness
Preparation for FINRA and SEC examinations, including document readiness, risk identification, gap analysis, and remediation planning.
Compliance Program Reviews
Evaluation of written supervisory procedures, compliance manuals, controls, governance, and the alignment between written requirements and actual business practices.
Internal Investigations & Complaints
Experienced review of potential misconduct, customer complaints, supervisory concerns, and matters requiring independent fact development and documentation.
Risk Assessment & Remediation
Identification and prioritization of regulatory, supervisory, and operational risks, with practical recommendations designed around the firm's actual business.
Compliance Training & Development
Practical training for compliance professionals and business leaders focused on regulatory expectations, professional judgment, and effective supervision.
A Practitioner With a Research Foundation
Academic Foundation
Dr. Bostic holds a Doctorate of Management in Organizational Leadership and is a Certified Fraud Examiner. Her doctoral research, Compliance with the Financial Industry Regulatory Authority Regulations, examined the organizational and behavioral dimensions of regulatory compliance and is on file with the U.S. Library of Congress.
Her research on leadership behavior in compliance was also presented at the University of Cambridge in England, where she received recognition for advanced research.
That academic work complements rather than replaces her practical experience. Her perspective on compliance has been shaped by decades of seeing what happens after policies are written — when supervisors must implement them, compliance professionals must test them, employees must follow them, and CCOs must determine whether the resulting program is actually working.
Bostic Principled Solutions
The Firm
Bostic Principled Solutions was founded on a straightforward principle: effective compliance requires more than knowing the rule.
It requires understanding the business, recognizing risk, examining the evidence, exercising sound judgment, and being willing to identify what is not working.
For firms that need experienced, independent compliance support, Bostic Principled Solutions provides the depth of a seasoned compliance professional with the flexibility of an outside consulting resource.
Compliance expertise built on practice, not just policy.
Work with Dr. Bostic
Whether your firm needs examination support, independent testing, a compliance program review, or experienced guidance on a complex matter, Bostic Principled Solutions is ready to help.
Get in Touch