SHANNON BRADY

COMPLIANCE ASSOCIATE

Shannon joined the Asgard team in April 2023. She assists in advising financial institutions in developing proactive strategies and tactics for regulatory compliance with an emphasis in control rooms and information barriers. This includes conducting Supervisory Control Testing (FINRA Rule 3120), independent AML inspections (FINRA Rule 3310), Investment Advisor Annual Reviews (SEC Rule 206(4)-7), conducting electronic communication surveillance reviews and personal securities account reviews. Shannon assists in preparing new client files, maintaining client relations, drafting securities registrations, terminations and amendments and launching Firm Element Continuing Education Programs.

Shannon holds a Bachelor of Arts Degree in Communications from St. Joseph’s University as well as a Property and Casualty insurance license. 

In her free time, Shannon enjoys exercising, reading, and adventuring with friends.