Preeti Gupta Preeti Gupta, Esq. Senior Consultant 518.331.4500 vCard

With more than 15 years of expertise in the financial services industry, Preeti brings extensive experience as a former regulator, senior compliance officer and in legal counsel roles, including investment advisor, broker-dealer, capital markets, and international regulatory and compliance matters. Preeti began her career as a regulator at FINRA within both the Department of Enforcement and Division of Market Surveillance. She has worked for global financial firms, holding a variety of positions, including Assistant General Counsel, Senior Compliance Manager and Assistant Vice President.  Preeti’s experience also includes implementing and overseeing various cybersecurity programs, information security policy and data breach/incident response project management.

Expertise

  • Developed and implemented investment advisor compliance programs, conducted annual reviews and mock audits
  • Provided advice on broker-dealer and investment advisor compliance and supervisory issues as well as drafting policies and procedures
  • Conducted investigations of various regulated entities in FINRA’s Department of Enforcement and Division of Market Surveillance
  • Project Managed a full data breach, from the point of identifying the breach to the client and regulatory notifications
  • Development of policies, governance and compliance programming, as well as the testing of related policies and procedures
  • Led and conducted Mock SEC audits, 206(4)-7 reviews and other audits
  • Prepared and presented memos and reports to Mutual Fund Boards and Senior Leadership Teams
  • Designed and implemented compliance surveillance reports, including any initial gap analysis
  • Implemented a cloud-based code of ethics program
  • Training, including annual, enforcement updates, cyber-related and focused trading related topics

Career Highlights

  • Assistant General Counsel, Chatham Financial Corp.
  • Senior Compliance Manager, DuPont Capital Management
  • Associate General Counsel/Compliance Officer, Harding Loevner
  • Assistant Vice President, JPMorgan Asset Management
  • Senior Analyst, FINRA

Education, Accolades & Affiliations

  • D. New York Law School
  • S. Management and Technology, Rensselaer Polytechnic Institute
  • Green Belt Six Sigma