Before joining Bovill, Ryan served as a CCO for a small RIA. In this role, he was responsible for making sure the firm met all its compliance obligations, including Code of Ethics monitoring, developing / monitoring firm policies and procedures, 206(4)-7 annual review, marketing reviews, and many more. Most recently, Ryan was part of the compliance team of a large RIA where he focused on trade errors, organizational risk management, and deep dives into specific areas of regulatory concern.
Ryan graduated from Rider University with a major in Finance. He has earned his Series 65 as well as his Certificate in Investment Performance Measurement (CIPM) offered by the CFA Institute.
The challenges and opportunities of preparing for a mock SEC examination.
Ryan Stibich | Bovill Newgate2 min read
How to comply with compliance rules on both sides of the Atlantic without being penalised.
Practical advice for compliance teams when completing essential reviews in adherence with the SEC’s Custody Rule.
Don’t see compliance as a roadblock, help to build a culture of compliance throughout your organization.
Organizations must be strategic and challenging when selecting technology platforms to aid compliance.
Ryan Stibich | Bovill Newgate2 min read
Guidance on where to focus when preparing for the 2024 SEC exams.
Use your annual review to set the right tone to build a culture of compliance and reduce risk.
Ryan Stibich | Bovill Newgate3 min read