Our Structure

Board of Directors

NSCP is managed by a Board of Directors comprised of 23 current and oncoming Board Members who work to ensure that the needs of our diverse membership base are met.

Committees

As a part of our member benefits, NSCP has established five Community Forums and two Committees:

  • Broker-Dealer Forum | Co-Chairs: Glen Barrentine and Brian Rubin
    Facilitates periodic discussions and exchange of ideas among NSCP members regarding regulatory issues relevant to broker-dealers.
  • Canadian Committee | Co-Chairs: Jaclyn Moody and Pam Thadani
    Oversees NSCP comment letter processes for Canadian related regulatory proposals and builds relationships between Canadian regulators.
  • Conference Committee | Co-Chairs: Joseph McDermott and Jodie Crotteau
    Identifies and develops appropriate topics for NSCP conferences focused on the practical aspects of current compliance challenges.
  • Diversity and Inclusion Committee | Chair: Hope Brown
    Promotes diversity and inclusion in the compliance profession.
  • Investment Advisor Forum | Chair: Rick Marshall
    Facilitates periodic discussions and exchange of ideas among NSCP members regarding regulatory issues relevant to investment advisers.
  • Membership Affairs Committee | Co-Chairs: Melissa Loner and Tito Pombra
    Advises the NSCP staff and provides assistance as appropriate on membership growth opportunities, offerings, benefits and membership engagement and satisfaction.
  • Municipal Advisor Forum | Chair: Dave Sanchez
    Facilitates a forum for the periodic discussion and exchange of ideas among NSCP members regarding regulatory issues relevant to municipal advisors.
  • Private Fund Forum | Co-Chairs: Bruce Karpati, Robert Kaplan, and Robert Saperstein
    Facilitates a forum for the periodic discussion and exchange of ideas among NSCP members regarding regulatory issues relevant to private funds, hedge funds, and private equity firms.
  • Publications Committee | Co-Chairs: Brenda Fournier and Patrick Hayes
    Works with NSCP’s Executive Director and NSCP Staff to produce the monthly publication Currents; solicits articles and authors for NSCP publications; and provides input for appropriate topics to cover in NSCP publications from conferences, regulatory committees, member suggestions and timely topics in the financial services industry.