FrontLine Compliance Expands Staff

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Firm Adds Two Former Regulators to Consulting Team

FrontLine Compliance, LLC has responded to the financial sector's expanding compliance needs and concerns about greater regulatory examinations by adding two additional former regulators to its staff of consultants. Beth Lehman, Senior Consultant, and Kathleen McCarthy, Senior Compliance Analyst, recently joined FrontLine Compliance to handle clients' compliance requirements.

Ms. Lehman specializes in complex regulatory compliance and enforcement matters for investment advisers and broker-dealers. She most recently served as an independent compliance consultant to State Street Global Advisors (SSgA) and prior to that was a chief compliance officer for a SEC-registered investment adviser and its affiliated mutual funds. Ms. Lehman began her career in the SEC's Division of Enforcement in Washington, DC, and then moved to the SEC's Boston Regional Office (BRO) where she was responsible for broker-dealer and investment adviser enforcement matters. Ms. Lehman received a J.D./M.B.A. from Suffolk University Law School, cum laude, and a B.A. from Boston University. She is the recipient of the SEC Enforcement Division Director's Award and the Commission's Chairman's Award for Excellence.

"Beth Lehman brings invaluable experience to FrontLine as a former SEC Enforcement attorney," Amy Lynch, president and founder of FrontLine Compliance, said. "Her background with SEC examination processes, SEC-mandated independent consulting and Enforcement proceedings, coupled with her private sector compliance background, makes her especially suited for the type of high level consulting services offered by FrontLine."

Ms. McCarthy specializes in regulatory research, broker-dealer and investment banking compliance matters. In a 25-year career, she has gained specialized expertise in multiple regulatory compliance areas, including creating policies and procedures, analyzing regulatory trends and providing compliance training. Ms. McCarthy was most recently an officer and Vice President in compliance with Morgan Stanley and before that an officer and Vice President of Corporate Compliance for Bankers Trust (now Deutsche Bank). She began her career at NYSE Regulation (now FINRA) in the Member Regulation and Market Surveillance departments where she planned and conducted numerous multi-SRO, high profile specialized investigations that included market manipulation and insider trading. She also planned and executed sales practice exams and operational reviews of compliance functions, and taught internal courses for NYSE staff. Ms. McCarthy earned an MBA from Pace University.

"Kathleen McCarthy is a compliance industry veteran adding broker-dealer regulatory and investment banking experience to our team. Her regulatory research abilities are especially important for our clients in a rapidly changing and more demanding compliance environment," Lynch said.

FrontLine Compliance, LLC is a regulatory compliance consulting firm of former high-level regulatory insiders offering customized services to broker-dealers, investment advisers, investment companies, hedge funds, and insurance company affiliates. Staffed by former SEC and FINRA regulators, and chief compliance officers, FrontLine Compliance provides the kind of industry knowledge, experience and expertise on regulatory issues only available from well-seasoned insiders. For more information about the consulting firm, please visit http://www.frontlinecompliance.com.

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