FrontLine Compliance Expands Consulting Staff

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Firm Adds Two Compliance Industry Veterans

FrontLine Compliance, LLC has further strengthened its consulting team in response to upcoming SEC registration requirements and more comprehensive regulations and examinations confronting the financial sector. Libby Liebig, Senior Consultant, and Heidi Tickle, Senior Consultant, recently joined FrontLine Compliance to handle clients’ compliance requirements.

Ms. Liebig specializes in complex regulatory compliance matters for investment advisers and mutual fund complexes. With over ten years of compliance specific experience, she most recently served as Chief Compliance Officer for NorthPointe Capital, LLC, an equity-only institutional investment management firm. She was also previously Vice President and Compliance Officer for HarbourVest Partners, LLC, a multi-billion dollar private equity firm in Boston, and Compliance Director at Babson Capital Management. She has also held positions in the compliance departments at Pioneer Investment Management and Lee Munder Capital Group, and was the Director of Mutual Fund Operations for The Munder Funds at Munder Capital Management.

“Libby has substantial investment adviser and fund compliance experience to offer our clients,” Amy Lynch, president and founder of FrontLine Compliance, said. “With SEC registration looming for many advisers, her background is especially valuable at this time and well-suited for the type of high level consulting services offered by FrontLine.”

Ms. Tickle specializes in broker-dealer compliance, with experience in the complex compliance architectures and systems of large sell-side firms. Her compliance background includes over 16 years of experience in creating policies and procedures, implementing training programs, enhancing surveillance strategies and integrating technology systems. Ms. Tickle was most recently a Director of Strategic Projects at Citigroup and was previously Chief Operating Officer to Americas Compliance at Credit Suisse, where she also served as Chief Compliance Officer of a Credit Suisse subsidiary broker-dealer. Ms. Tickle has held the Series 7, 9, 10, 14, 24, 55, 63, 65 and 79 securities licenses.

“Heidi Tickle is an accomplished compliance professional with a superior understanding of large broker-dealer systems and organizational structures. Coupled with the depth of her compliance knowledge, her skill set is especially important to our clients in a rapidly changing and complex business environment,” Lynch said.

FrontLine Compliance, LLC is a regulatory compliance consulting firm of former high-level regulatory insiders offering customized services to investment advisers, broker-dealers, hedge funds, private equity firms, investment companies 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.

Amy Lynch, CRCP
President
FrontLine Compliance, LLC
Phone (888) 518-8070
alynch(at)frontlinecompliance(dot)com

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