Shawn Bostic, Doctor of Management, CFE

Dr. Shawn Bostic is a financial services compliance consultant, author, speaker, and researcher with more than three decades of experience in the securities industry. A former Chief Compliance Officer and longtime compliance professional, she works with broker-dealers, registered investment advisers, and compliance leaders who need practical, experienced support navigating regulatory responsibilities, examinations, supervision, and emerging risks.

Through Bostic Principled Solutions, Dr. Bostic provides focused compliance services including compliance and supervisory training; mock regulatory exams; remote supervisory and branch exams; risk-based exams and assessments; and independent review of AI-generated or AI-assisted content used in RIA and broker-dealer brochures, documents, agreements, forms, and other communications. Her broader consulting work helps firms identify regulatory gaps, strengthen supervisory practices, evaluate risk, and make well-reasoned compliance decisions before issues become regulatory concerns.

Her doctoral study, Compliance with the Financial Industry Regulatory Authority Regulations, examined how ethical practices, workplace environments, and professional judgment influence compliance behavior and is on file with the U.S. Library of Congress. Her research on leadership behavior in compliance was presented at the University of Cambridge in England, where she received an Advanced Research Award.

Dr. Bostic brings a distinctive perspective to the intersection of regulation, technology, organizational behavior, and human judgment, serving clients as both a technical compliance resource and a trusted thought partner.