Interactive Compliance Labs for BDs & IAs - San Francisco

Nikki Brinkerhoff
Chief Compliance Officer TradeStation Nikki has over 20 years of expertise in Financial Services including the technology and operational controls required to achieve compliance and service delivery strategy. She has extensive experience in Retail and Institutional broker dealers, Dual registrant BD/RIA, investment banking, bank holding companies and international registrations and online self-directed U.S. firms. She has been an active participant in industry compliance and operations associations and committees including SIFMA, BISA, NSCP, IIA and ISACA. 

Janice Powell 
Chief Compliance Officer Affinex Capital Janice has more than 23 years of experience in the financial services industry, having worked in operations, supervision, compliance, and fiduciary services in the home offices of independent firms, bank holding companies and independent firms. She also has worked as a financial representative and has held many leadership roles throughout her career. She has dedicated her career to the continuous collaboration with firms throughout the industry 

in an effort to enhance their risk-based compliance programs and understanding their fiduciary responsibilities to their clients. Her dynamic approach and experience working with C-Suite executives to mitigate conflicts of interest and regulatory scrutiny, while developing solutions to help firms expand and grow their business in a compliant way, has made her a sought after resource in the compliance arena. Throughout her career, Ms. Powell has focused on perfecting custom methods on how to build and develop a culture of compliance. Ms. Powell has worked within multiple business models from hybrid advisers, multi-family offices, dual registrants, bank-owned advisers and broker-dealers, advisers to mutual funds, trust companies and independent advisers. Her areas of knowledge include investment adviser, investment company, broker-dealer and private fund compliance programs, marketing reviews, Code of Ethics and Compliance Program development and training, policy and procedure, surveillance and internal control development, risk assessment and annual reviews. Janice earned an MBA from University of Phoenix, holds FINRA Series 7, 24, 63, and 65 and IACCP® Designation. When not creating compliance programs, Janice enjoys time with her family, traveling and spending time in the outdoors with her dog, Noah.

Kristin Snyder
Partner Debevoise & Plimpton LLP Kristin Snyder is a litigation partner and member of the firm’s White Collar & Regulatory Defense Group. Her practice focuses on securities-related regulatory and enforcement matters, particularly for private investment firms and other asset managers. Ms. Snyder is recommended by The Legal 500 US (2022). Prior to her role at Debevoise, Ms. Snyder served at the U.S. Securities & Exchange Commission (SEC) for 18 years, most recently serving as the Deputy Director of the Division of Examinations resident in its San Francisco Regional Office. In her role, she spearheaded the development of examination priorities for the national and international examination programs covering a spectrum of SEC registrants including investment advisers, investment companies, and broker-dealers. At the Commission, she also served as National Associate Director of the Investment Adviser/Investment Company (IAIC) Examination Program, and as the San Francisco Regional Office’s Associate Director for Examinations. In these roles and her Deputy Director role, she oversaw more than 1,000 employees in the Division of Examinations, directed the SEC’s Private Funds Unit, a specialized group within the exam program that has conducted hundreds of examinations of many of the largest and most complex private funds managers in the world, and managed referrals of examination findings from the Division of Examinations to the Division of Enforcement. She also led the SEC’s National Examination Program Office for the IAIC Examination Program, which develops priorities and initiatives covering investment advisers, including private fund managers, and investment companies. 

Before her position at the Division of Examinations, Ms. Snyder served for eight years in the SEC’s Division of Enforcement as a branch chief and as senior counsel in the SEC’s San Francisco office, and prior to that was a litigation associate at two major law firms. Ms. Snyder currently serves on the board for Legal Aid at Work, a nonprofit legal services organization that has been assisting low-income, working families for more than 100 years. She is also on the Steering Committee for the Women in Securities (WISe) group in the Bay Area, a network for women securities litigators that seeks to promote their development and advancement.

Ann Robinson
Chief Compliance Officer Farmers Insurance 

With over 20 years’ experience as a senior compliance professional, Ann has deep expertise in financial services operations, compliance, and compliance technology. In 2018 Ann joined Farmers Financial Solutions, LLC as the Director of Operations and transitioned to Chief Compliance Officer in January 2020. In previous roles, Ann made significant contributions to the compliance tech industry during her employment with RegEd in roles including Business Development and Product Management. Prior to joining RegEd in 2012, Ann was a Senior Compliance Manager for Morgan Keegan & Company, Inc. where she was responsible for the implementation of firm element, continuing education, and associated learning programs and managed the Licensing and Registration department. Ann also had a key role in implementing technology to automate various compliance functions including the firm's conflicts of interest program. Ann has been an active participant in industry forums and conferences throughout her career in financial services. In addition to her participation in industry forums she has acted as an industry expert on panels including the SILA National Education Conference, Financial Markets Association’s Securities Compliance Seminar, and NSCP’s National Conference. Ann is on the Board of NSCP and also serves on the NSCP Conferences Committee. She also serves on the Securities and Insurance Licensing Association (SILA) Foundation board as the Public Works and Services Trustee and is a member of the District Committee for FINRA District No. 2. Ann holds a Bachelor of Science degree from Samford University in Birmingham, Alabama and Masters of Business Administration degree from the University of Alabama in Birmingham, AL. She also holds Series 7, 66, 24, 14 securities licenses and a California Insurance License. Ann holds the Certified Regulatory Compliance Manager (CRCM), Securities and Insurance Licensing Association Fellow (SILA-F), and NSCP Certified Securities Compliance Professional (CSCP) designations.

Joseph Simms
Shareholder Reminger Co., LPA Joe is the Chair of Reminger’s Broker-Dealer and Investment Advisor Regulatory 

Compliance and Enforcement Practice Group, and a senior member of the Financial Services, Securities Litigation, Commercial Litigation and Estates, Trusts and Probate Litigation groups. In his nationwide practice, Joe represents public and private companies and individuals in the financial services, banking, brokerage, insurance, real estate, manufacturing, and construction industries in a wide array of cases involving breach of contract and fraud claims, issues relating to claims of unfair competition and trade secrets violations, and general tort litigation. His primary focus is complex securities litigation and arbitration, financial institution litigation, compliance consulting, regulatory investigations and inquiries, and broker-dealer liability defense, in which he represents broker-dealers, investment advisors, banks, and insurance companies and their licensed and registered personnel in claims involving allegations of professional misconduct. His background in business litigation and representing financial services providers also translates well into his experience in matters of estate and trust litigation. With more than two decades of legal experience, Joe has earned a reputation throughout the state of Ohio and nationally as a litigator specializing in complex business disputes, commercial litigation, and alternative dispute resolution. He has been named repeatedly to the Ohio Super Lawyers list, a designation reserved for only 5% of Ohio lawyers, and has achieved Martindale-Hubbell's highest ranking, AV Preeminent®. According to feedback obtained during the rating process, Joe was described as an attorney who “excels at determining a strategy that is cost-effective for the client and then expertly executing that strategy through top-notch work product and advocacy,” and he was recognized as an “excellent lawyer with a wide range of experience and knowledge” who is “among the top defense counsel in the broker-dealer bar.” Joe is the immediate past Chair of the Ohio State Bar Association’s Litigation Section and presently serves as the Chair of the Securities Litigation Committee of the American Bar Association’s Litigation Section. He also currently serves as a member of the Judicial Selection Committee of the Cleveland Metropolitan Bar Association, is on the executive committees of the ADR Sections of the Ohio State Bar Association and Cleveland Metropolitan Bar Association, and serves on the Board of Directors of LifeAct of Northeast Ohio as a member of its Governance and Advocacy committees. He also writes and speaks frequently throughout Ohio and nationwide on topics of interest to litigators and financial services professionals, and has been an active member of the Defense Research Institute (DRI), the Ohio Association of Civil Trial Attorneys (OACTA) and the Securities Industry and Financial Markets Association (SIFMA).

 Tito Pombra
A seasoned compliance professional with over 38 years of experience in the global asset management industry. He is the President and Founder of Adviser Compliance Consulting Inc. (ACC), a firm that provides proactive and customized compliance solutions to a wide range of clients, including registered investment advisers, hedge funds, private funds, investment companies, private equity, CPOs, CTAs, and financial professionals. He also serves as an Outsource Chief Compliance Officer leading investment advisory firms and private fund advisers.

His expertise covers various aspects of compliance, such as Investment Adviser, Investment Company, and Private Fund Compliance Programs, Anti-Money Laundering Programs, NFA Registration and Compliance, International Compliance and UCIT Regulations, Policies and Procedures, Annual Reviews, Mock SEC Examinations, Risk Assessments, and Compliance Training. He is also a Top 20 Rising Star in Compliance, recognized by the industry for his excellence and innovation. His mission is to help his clients achieve their business goals while maintaining a strong culture of compliance and ethics.

Craig Watanabe
Director IA Compliance DFPG Investments Mr. Watanabe has been a Financial Adviser and the Director of IA Compliance at DFPG 

Investments, Inc. ("DFPG") since April 2018. Mr. Watanabe entered the securities industry in 1983 and has been a successful financial planner, Branch Manager, Operations Manager, Chief Compliance Officer and Chief Operating Officer. Mr. Watanabe has broker-dealer and investment adviser compliance experience covering retail brokerage, market making, research, investment banking. insurance, commodities, retail investment advisory and ERISA plans. In his current role as a financial adviser with DFPG, Mr. Watanabe works with clients to assist in growing and protecting their assets and planning to meet their financial objectives. DFPG is a registered broker-dealer and investments adviser. Mr. Watanabe is responsible for the investment adviser compliance program. Mr. Watanabe served on the FINRA District 2 Committee from 2008-11 and was Chairman of the Committee in 2011. He also served six years on the NSCP Board of Directors and was Chairman of the Board in 2013. Mr. Watanabe is a frequent speaker at conferences and has authored numerous articles and training modules for financial professionals. Securities and advisory services are offered through DFPG Investments, Inc., Member FINRA and SIPC.