Anthony Woodard named compliance professional of the year


Prime Capital Investment Advisors’ (PCIA) chief compliance officer Anthony Woodard has been named the 2020 Compliance Professional of the Year by RIA Compliance Consultants.

RIA Compliance Consultants works with more than 1,800 registered investment advisors in the US and has selected Woodard as the top compliance professional in the industry.

RIA Compliance Consultants works with investment advisors to implement strong compliance and risk management strategies.

“We know what a true leader and professional Anthony is, and we are very proud to see that people outside of our firm recognise this as well,” said Glenn Spencer, PCIA’s CEO.

“Anthony is a fantastic example of how an effortful leader takes action. He is knowledgeable, practical, thoughtful, responsive and ever-evolving.”

As chief compliance officer, Woodard is responsible for ensuring PCIA is in compliance with industry regulations, assessing the firm’s exposure to risk, and creating and administering policies that effectively address such risks.

A featured panellist and member of multiple advisory councils, Woodard has shared his years of experience managing in a “multi-regulator” environment with fellow chief compliance officers and managers. He is a member of the firm’s investment advisory committee and holds the FINRA Series 7, 24, and 66 registrations and also serves as director of trading.

Prime Capital Investment Advisors, Compliance, Awards, Risk Management, Insurance, Reinsurance, Anthony Woodard, North America

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