PyreneesUSA Compliance LLC

FINRA Arbitration Securities Expert & Broker-Dealer-RIA Compliance

FINRA Arbitration Securities Expert & Broker-Dealer-RIA Compliance

FINRA Arbitration Securities Expert & Broker-Dealer-RIA ComplianceFINRA Arbitration Securities Expert & Broker-Dealer-RIA ComplianceFINRA Arbitration Securities Expert & Broker-Dealer-RIA Compliance

CHIEF COMPLIANCE OFFICER OR REGULATORY EXAM PREPARATION

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 Pyrenees Compliance is a comprehensive compliance firm with practical experience by the CEO as a former regulator and current FINRA/SEC/NFA licensed for a BD or RIA with over 20+ years practical experience.  

Testimonials - see more at www.linkedin.com/in/ann-m-grady-572b293

 Dennis Davitt, Partner, Harvest Volatility & former market-maker with Wolverine Trading:    "Ann, as a seasoned compliance and operational professional, Ann performs well under pressure, good critical thinking skills, passion for details, global view, proactive and constructive reactive thinking and plays well with others. These are the terms I use to describe Ann as a compliance professional who implemented Wolverine’s compliance program and helped myself and other firm traders to navigate the many regulations required of proprietary & market makers in the U.S. and London.  "  


Michelle Cullen, former CFO tastytrade & tastyworks: "Ann has a detailed understanding of the financial markets, the ability to assess and manage risk, and the knowledge to implement and maintain day-to-day policies and procedures. She is a clear communicator, a patient manager and she is very effective at interpreting new laws and regulations to ensure her firm’s timely compliance. I have learned a lot from Ann and I feel very lucky to have had the chance to work with her. I know a lot of people who would say the same. I hope I have the chance again in the future! "


Caroline Langner, current Director, Managing Counsel BNY Mellon-Pershing & former Director, TD Ameritrade Clearing Inc.: " Ann is one of the most experienced professionals I know in retail brokerage compliance.  I worked with Ann when we were both in compliance at TD Ameritrade.  Ann was the Compliance Officer for Futures and Forex at that time and I was continually impressed by her experience in this area.  Ann not only has a deep understanding of futures and forex trading and clearance but she is also an expert with respect to her knowledge of options trading in the retail brokerage space.  Ann understands the needs of the business and balances those needs with the applicable compliance requirements.  She is a pleasure to work with and truly loves working in the securities industry" 





WHY CHOOSE PYRENEES TO REGISTER A NEW BD or RIA?


Your firm will directly benefit from the knowledge and expertise of Ann Grady, the CEO of Pyrenees Compliance.  Ann does not outsource her work and her clients have complete access to her when hiring Pyrenees Compliance. Clients always know they will receive the benefit of Ann's experience in any matter.

Pyrenees Compliance Team

Ann M. Grady - Chief Executive Officer

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Ann Grady has worn many different hats throughout her 30+ year career working in the financial services industry.  As a regulator for 20 years and a Chief Compliance Officer ("CCO") for most of the last 15+ years while working at a variety of well respected brokerage and advisory firms, she has gained a complete understanding of the financial services industry from the ground up. Ann is an experienced CCO with practical knowledge of registering FINRA, SEC, NFA & CFTC member firms and has the ability to navigate efficiently the necessary compliance procedures to support the goals of both compliance and the business stakeholders  because she's done it before as a Principal and many times. Ann has been a registered Principal with a clean regulatory history at a variety of brokerage and advisory firms, including TD Ameritrade, ABN AMRO, Wolverine Trading and thinkorswim.  She lead the registration and compliance program as the CCO to open tastyworks for business in 2017 and an affiliate advisory firm opened in 2018.


She has successfully registered numerous types of firms in less than a year with FINRA, SEC, NFA & CFTC to operate as a US broker-dealer, investment advisor, stock or option clearing firm and/or Futures Commission Merchant entities.


Ann also has the experience necessary to act as an expert witness for any arbitration or legal matter or internal investigation that involves a securities,  futures or annuities related claim  or a matter concerning a broker dealer, FCM, Investment Advisor or Clearing Firm's operation or an Exchange's handling of a trade.  


Expertise

  • New member applications and registrations for securities and commodities brokerage firms and investment advisors
  • Regulatory and Internal Investigations (annual FINRA 3130 or NFA annual CEO reports, Main Office and Branch Exams, independent AML Exams)
  • Broker-Dealer: Litigation, Consulting and Compliance (procedures, registrations, new products or services including PFOF, disclosures & portfolio margin and supervisory structure)

Education and Accolades

  • B.A., DePaul University
  • FINRA Series 4, 7, 14A, 24, 63 and NFA Series 3, 34 current licenses
  • SEC Enforcement Compliance Training Program - 12 hour program
  • NASD Training Program for Capital Computation and Compliance - 30 hour program
  • FINRA AML Bootcamp - 25 hour program
  • Current on FINRA Regulatory CE and FINRA Firm Element and NFA Ethics Training over the last fifteen (15) years

Financial Services Industry Committees 

  • Member of the National Society Compliance Professionals since 2014  
  • Member of NYSE/Arca Ethics & Business Conduct Committee since 2001
  • Futures Industry Association Member & Legal-Compliance Committee Member from (2009 -2015)
  • SIFMA Member & Compliance Committee Member since 2004
  • Chairman of PCX (NYSE/Arca) Options Ethics and Business Conduct Committee (2003-2006) and 2009

CBOE Arbitration & Appeals Committee Member from (2001- 2015)