Shawn Bostic, Doctor of Management, CFE

Dr. Shawn Bostic, CFE is the Director of Regulatory Compliance for Kestra Financial, where she oversees regulatory examinations and responses, customer complaints, and sales practice risk among financial professionals. With more than 30 years of experience in financial services, she specializes in how financial institutions translate regulatory obligations into operational governance and compliance culture.

Dr. Bostic, is among a limited number of scholar-practitioners globally whose doctoral research, published work, and executive leadership focus on the practice of regulatory compliance within financial institutions. A frequent speaker, thought leader, and author on practical compliance governance and behavioral regulation, her work bridges academic research, regulatory expectations, and the real-world leadership decisions that shape compliance programs.

She holds a Doctorate in Management in Organizational Leadership and a Master’s Degree in Public Administration. Her research has received international recognition, including a distinguished advanced studies scholarship for presenting at Cambridge University on the challenges of self-regulation in financial services. She currently serves on the Board of Governance committee for NSCP.