Leigh is a career compliance professional, specializing in the RIA space. Leigh has held a number of senior roles both in-house and in the consulting realm, most recently as Associate Director for the Regulatory & Compliance Services team at Constellation Advisers. Leigh’s prior experience includes roles with Blackstone, NorthPoint Compliance, Krasney Financial, as well as branch management roles with Investors Bank and Bank of America. During the course of her career, Leigh has assisted investment advisers of varying sizes and strategies with their initial registration process as well as the execution of their ongoing compliance program, including SEC/NFA exam coordination and preparation, annual reviews, drafting of policies and procedures, custom testing and surveillance, employee training, and the preparation of various regulatory filings.
Leigh received her B.S. in Business Management from the University of Phoenix, a post baccalaureate Certification of Professional Achievement in Business (Finance) from Columbia University with honors, and her M.S. in Jurisprudence (Financial Services Law) from the Seton Hall University School of Law. In February 2018, Leigh earned the Investment Adviser Certified Compliance Professional® (IACCP®) designation.