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As President and CEO of ComplianceMAX Financial, Ms. Roth is responsible for leading the firm's strategy and overseeing the day-to-day operations of the firm. In addition, Ms. Roth oversees the ComplianceMAX Institute which is responsible for creation and oversight of the firm's consulting, auditing and content. Read more |
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As Chairman of the Board of ComplianceMAX Financial, Al Monahan provides the strategic vision and leadership for the firm. His extensive industry experience is leveraged to ensure that ComplianceMAX Financial is aligned with the long-term industry trends, while maintaining a focus on today's customers. Read more |
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As Executive Vice President of ComplianceMAX Financial, Mitchell oversees product development and marketing. His focus is to ensure that the products and services offered by ComplianceMAX Financial are meeting the needs of our customers and are consistent with the firm's strategic focus. Read more |
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As
Chief Information Officer
of ComplianceMAX Financial, Paul is responsible for managing new customer implementations and ensuring that existing customers get the highest level of support. Read more |
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| Jim Gibson |
— Vice President Sales, Investment Advisor Division |
As Vice President Sales, Investment Advisor Division of ComplianceMAX Financial, Jim is responsible for the day-to-day sales and marketing program, plus developing the long term sales and marketing strategy to position ComplianceMAX as the leading provider of regulatory compliance services and technology. Read More |
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Paul Cox joined ComplianceMAX Financial in 2001 as a compliance consultant specializing in regulatory audits and registrations. He was instrumental in the creation of the Resources™ and ResourcesPLUS™ programs and the developed registration services for Investment Advisers and Hedge Funds. Read more |
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Christy Clifton oversees the national auditing program for ComplianceMAX Financial. In this capacity, Christy is responsible for managing national audit client relationships, hiring, training and supervising the audit team and logistics management. Under her supervision ComplianceMAX Financial delivers thousands of home office and branch inspections for Broker-Dealers, Investment Advisers and Hedge Funds. Read more |
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As Chief Software Architect of ComplianceMAX Financial, Filippo is responsible for the design, development and implementation of the ComplianceMAX technologies. Under his leadership, ComplianceMAX has built a revolutionary web-based compliance platform designed to address the needs of all firms regardless of their size or complexity. Read more |