Dana Dawe – CAMS
Senior Compliance Consultant

PROFESSIONAL EXPERIENCE

Proprietor, Dawe Compliance Consulting Services; Ada, MI
10/2006 thru Present

Provide regulatory and SRO compliance consulting services to broker/dealers and SEC registered investment advisers.  Currently contracting with Bekker Compliance Consulting Partners, LLC (BCCP) in providing regulatory compliance consulting services to BCCP’s clients.

Chief Compliance Officer & Director of Compliance
Plante Moran Financial Advisors, P&M Corporate Finance, Plante Moran Insurance Agency Services, Plante Moran Trust;
Grand Rapids, MI
2/2005 to 10/2006

Responsibilities included principal oversight and control over compliance functions of 2 FINRA broker-dealers (involved in Mergers & Acquisitions, Private Placements, and Variable Life Insurance transactions for Ultra High Net Worth individuals), an SEC registered investment adviser (rated by Financial Advisor magazine in July, 2006 as the 3rd largest independent money manager in the U.S. in assets under management), and a state chartered trust bank, all of which are regulated subsidiaries of the regional accounting firm of Plante & Moran, PLLC.  Consisted of all facets of FINRA and SEC compliance, including advising managing directors and partners on compliance issues and solutions.  Report to respective firms’ Managing Directors, Partners, and Board Members.

Accomplishments include organizing and implementing compliance infrastructure of 2 newly registered broker-dealers and strengthening and organizing compliance program of large independent investment adviser, enhancing Written Supervisory Procedures and business policies and procedures.

Proprietor, Dawe Compliance Consulting Services; Ada, MI
11/2003 thru 1/2005

Provided regulatory and SRO compliance consulting services for broker/dealers and SEC registered investment advisers including branch and OSJ inspections.  Clients included P&M Corporate Finance, LLC, the corporate finance subsidiary of Plante & Moran, PLLC, Southfield, MI; Catholic Financial Services, Inc., Milwaukee, WI; and The Compliance Department, Inc., Denver, CO.

Vice President, Director of Compliance, Associated Investment Services, Inc.; Green Bay, WI
2002 thru 11/2003

Responsibilities included principal oversight and control over compliance functions of a bank holding company broker/dealer subsidiary owned and operated by Associated Banc-Corp, a $14 billion regional bank holding company, including licensing and registration, trade surveillance, branch office inspections, operations, trading desk, and sales practice compliance.

Accomplishments included development of strong trade surveillance, sales practice compliance, and branch examination programs, including general overhaul and revision of the firm’s Written Supervisory Procedures and restructuring of Operations, Trading, and Compliance departments.

Proprietor, Dawe Compliance Consulting Services; Ada, MI
2001 to 2002

Provided regulatory and SRO compliance consulting services for broker/dealers and SEC registered investment advisers.  Clients included Credit Suisse Private Advisors, Zurich, Switzerland; the Compliance Group, Washington, D.C.; and H & R Block Financial Advisors, Kansas City, MO.  

Vice President, Director of Compliance & Operations, Old Kent Securities Corporation; Grand Rapids, MI
1997 to 2001

Responsibilities included principal oversight and control over Compliance and Operations functions of a financial (bank) holding company broker/dealer subsidiary, as well as Compliance functions of a bank-affiliated Registered Investment Adviser ( “RIA”) to a proprietary mutual fund (the Kent Funds) complex (over $6 billion in assets) and retail wrap product.   Old Kent Financial Corporation, a $22 billion regional bank holding company, owned and operated each entity.  Direct supervision of staff of 3 Compliance professionals and 2 Operations Managers, supervising staff of 8 Operations employees.  Responsibilities included retail and institutional trade surveillance; regulatory review of marketing materials and sales literature; branch office audits; licensing and regulatory registrations; responding to customer complaints; sales practice compliance; Code of Ethics review; soft dollar compliance; OFAC and Money Laundering compliance; and back office operations including trade clearance, settlement procedures, and regulatory reporting, including FOCUS.  Reported to broker/dealer ’s and RIA’s respective Board of Directors.  Functioned as firm’s Executive Representative and maintained principal contact with all securities regulators.

Accomplishments included organizing strong Compliance and Operations department for a growing broker/dealer and SEC registered RIA through development of written policies and procedures, as well as competent staffing.  Also developed strong capital markets compliance control program for the firm’s Section 20 (fixed income underwriting) initiative.

Compliance Specialist - Capital Markets, First of America Bank Corporation, Kalamazoo, MI
1992 to 1997

Responsibilities included compliance responsibility for Section 20 broker/ dealer Capital Markets Division of firm, including risk analysis and membership on Senior Management Risk Committee and reporting to Board of Directors regarding Capital Markets compliance activities.  Included OSJ audit responsibility for Capital Markets Division and principal contact with securities and banking regulators concerning firm’s investment banking, trading, dealing, and underwriting businesses.  Also reviewed advertising and sales literature to ensure compliance with various securities and banking rules and regulations. 

Accomplishments included creation of comprehensive written compliance control program and up-to-date procedures for Capital Markets Division.  Developed complete hedging policies and procedures in conformity with Federal Reserve Regulations and written procedures for branch office audits and trading surveillance.  Designed and implemented various automated risk assessment reports used by senior management in day-to-day management.

Registered Representative, various firms including PaineWebber Inc., A. G. Edwards & Sons, Inc., and CUNA Brokerage Services, Inc.
1979 to 1992

Responsibilities included marketing and sales of investment products and services such as mutual funds, stocks, bonds, annuities, unit investment trusts, and financial planning.

Accomplishments included consistent sales performance within the top third of branch office producers.

FORMAL EDUCATION

Bachelor of Arts, Social Science, German Language Minor, Michigan State University, 1979

CURRENT PROFESSIONAL REGISTRATIONS

  • FINRA General Securities Representative Registration Series 7, 1981
  • FINRA General Securities Principal Registration Series 24, 1992
  • FINRA Financial and Operations Principal Registration Series 27, 1996
  • Michigan Blue Sky Registration Series 63, 1980

PROFESSIONAL REGISTRATIONS PREVIOUSLY HELD

  • FINRA Investment Adviser, Series 65, 1997
  • MSRB Municipal Securities Principal Registration Series 53, 1992
  • FINRA Foreign Currency Options Registration Series 15, 1983
  • CFTC Commodities Futures Registration Series 3, 1983
  • Michigan Variable Contracts License, 1981
  • FINRA Registration Series 6, 1980
  • Michigan Life, Health, and Disability Insurance License, 1979

PROFESSIONAL ASSOCIATIONS

  • Member, National Society of Compliance Professionals, 1999
  • Member, FINRA Board of Arbitrators, 1995