About Us RIA Compliance
At Polaris Compliance Consulting, we understand the business. With years of experience on the broker dealer side as well as the RIA side, we have a clear understanding of the compliance requirements for each. We also understand that compliance can sometimes be a hassle, or even confusing, and we are here for you. We never hesitate to come onsite when you need us. We are here to assist you so you can concentrate on doing what you do best - focus on your clients.
Tiffany Chamberlain, CIDA (Certified Investments and Derivatives Auditor)
Tiffany Chamberlain started Polaris Compliance Consulting with almost 20 years of experience in the financial services industry in the areas of accounting, audit, and compliance. As a former NASD (now known as FINRA) regulator and "Big 4" advisory consultant, she has audited and advised over 350 broker dealers and registered investment advisors. Additionally, she has served as Vice President of Internal Audit of a major regional bank overseeing the subsidiary broker dealer and registered investment advisor, as well as been a Registered Investment Advisor ("RIA") Senior Compliance Officer for a national securities firm.
Ms. Chamberlain has comprehensive experience in advising financial services companies on enhancing the effectiveness and efficiency of compliance programs and regulatory reporting through process analysis, needs assessment, problem identification/resolution, and process re-engineering. Ms. Chamberlain advises clients on the latest regulatory developments such as Form ADV filings, Customer Disclosures, Custody, and Advertising, and assists clients in implementing policies and procedures designed to comply with the rules and regulations. She possesses the valuable experience of having been on both sides of compliance - first, as a former regulator, and secondly as a senior compliance officer assisting in the coordination efforts for FINRA and SEC examinations, as well as responsible for responses to regulatory inquiries.
Tiffany has worked with several top-tier investment advisory and brokerage firms including but not limited to, Goldman Sachs, Morgan Keegan, Raymond James, and Bank of New York.
Carrie Shrader, Compliance Associate
Carrie Shrader, a native of Ohio, has been slowly working her way South by first obtaining her Master's degree from The University of Kentucky and then living and working in Georgia for about 15 years. During this time, she has worked in a variety of settings. This includes employment in a hospital during the creation and implementation of HIPAA (Health Insurance Portability and Accountability Act) standards. Additionally, she worked closely with the Social Security Administration and both SSI and SSDI benefits. From there, she moved on to the Safety Department of a national trucking company where she was involved with Federal DOT regulations and State Worker’s Compensation. Her most recent experience, before becoming a part of the Polaris Compliance Consulting team, was with a National Health Insurance carrier where she furthered her
skills working with HIPAA, State Worker’s Compensation and the updated ADAAA (American’s with Disability Amendments Act of 2008).
Carrie is pleased to be a part of Polaris Compliance Consulting and is dedicated to providing exemplary service.
Jim "Duke" Deuschle, Compliance Associate
Duke joined Polaris in January 2018, after a 22 year career in Operations and Compliance for a major telecommunications corporation. He acquired an Associates in Arts, Business Administration with Magna Cum Laude honors, and a Bachelor of Business Administration with Summa Cum Laude honors from Strayer University. Duke is a Certified Scrum Master and Certifed Agile Professional, as well as a life member of Mensa. Most importantly, he and his wonderful wife, Kristen, are proud parents of their teenaged son, Max.
Duke is excited to bring his years of experience in project management and compliance to the Polaris team.