Compliance Consulting Services for State and SEC Registered Investment Advisors

Laurie Taraboulos
Director of Compliance
Laurie Taraboulos joined Polaris Compliance Consulting with over 30 years of experience in the financial services industry including a focus on Compliance since 2007.  In her career, Laurie has enjoyed several compliance and management roles and has experience including but not limited to, managing risk, reviewing and applying policies and procedures, audit preparation and execution, and email reviews. She really enjoys getting to know how a firm works and applying her experience to helping them set up or navigate their compliance program.
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Laurie has worked with several top-tier investment advisory and brokerage firms including but not limited to, Smith Barney, Morgan Stanley, JP Morgan and Wachovia Securities.
Fun Facts:
Laurie sang and danced on a televised Puerto Rican Variety Show when she was 10 years old
Laurie's greatest dream growing up was to be a Broadway actress
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