Safe and Sound
A BLOG ABOUT COMPLIANCE, ETHICS, AND RISK MANAGEMENT
AND STAY UPDATED!
CEO & Founder of Sustainable Compliance Strategies, LLC ™ and Former Managing Director and Chief Compliance & Risk Officer of VMS, LLC
Leveraging her deep regulatory compliance expertise in leadership roles at NYSE/FINRA as well as in-house, Ellen led the VMS, LLC Compliance and Risk Advisory & Consulting Group, from April 2018 to April 2019, transforming
organizations by offering tailored, sustainable solutions that provide regulatory safety and soundness.
Under Ellen's leadership, VMS, LLC was listed in the FINRA Compliance Vendor Directory and was accepted as an Independent Compliance Consultant by the SEC.