Lauren brings more than 25 years of experience to the practice. She has worked at many diverse Northwest regional firms. Her experience and background include accounting, operations, trade support, human resources, and compliance for financial services firms offering varied services, including clearance and settlement, subscription business and insurance, investment banking, private placements, research, equity trading, and proprietary fixed-income trading. Prior to joining Precedent, she served as Chief Compliance Officer and a member of the executive committee for a fixed-income inter-dealer broker.
Lauren likes compliance and enjoys working with people – she is proof that strong compliance and engaging repartee aren’t mutually exclusive. She is able to look at complex issues from varying perspectives, helping to bridge executive-level business needs with operational functionality and compliance requirements. She is adept at writing policies and procedures that make sense and can actually be used. Her multi-layered experience, her role as an executive officer and her participation in ongoing workflow provides firms withinsight and depth as they look to drive growth initiatives while remaining well within appropriate compliance parameters.
Lauren has a degree in Linguistics from the University of Washington. She has held the Series 7, 24, 53, 63 and 65 licenses.