Our Staff

Jeff Groves
President

With more than 20 years of industry experience, including positions as Chief Compliance Officer and Chief Administrative Officer and partner of an investment adviser and broker dealer, Jeff provides a deep knowledge base CWI’s clients have come to depend on.

Jeff consults broker dealers, investment advisers, hedge funds and private equity firms on various issues regarding SEC and FINRA regulation; assists in the preparation for regulatory audits and consults on business issues as they relate to compliance. Jeff has achieved a FINRA/Wharton certification as a Certified Regulatory and Compliance Professional (CRCP).

Prior to opening the doors at ComplianceWorks, Jeff served as a lead consultant with ComplianceMAX Financial, a large compliance technology firm in San Diego, CA. Jeff was a partner with Helix Investment Partners LLC and Helix Trading LLC, a dually registered investment adviser (hedge fund) and a broker dealer. In addition to being CCO and CAO of Helix, he was in charge of the production and sale of a corporate bond research product and also traded equities.

Jeff has a Bachelor of Science in Finance from California State University, Fullerton and performed graduate studies at Pepperdine University. He holds the Series 24, 4, 7, 55, 63 and 65 designations.

When not engaged in compliance, Jeff can be found living the good life in Southern California – skiing and snowboarding in Mammoth; rooting for the LA Lakers at the Staples Center; or on the sidelines of a local soccer field cheering on both daughters’ teams.

Sharon Goldberg
Regulatory Consultant

Sharon brings more than 25 years of industry experience to the CWI team, including positions as Chief Compliance Officer and Senior Director of Operations. She currently consults investment advisers and broker dealers on various issues regarding SEC and NASD regulations and assists in the preparation of regulatory audits and other back office and operational issues.

Prior to her current position with ComplianceWorks, Sharon was the Chief Compliance Officer for First Quadrant, a registered investment advisor and prior to that she served as Chief Compliance Officer with Macquarie Allegiance Capital, a registered investment advisor. She also served as CCO for their other affiliated companies including a hedge fund of funds. Sharon was also the executive in charge of the Operations area and has a proven record of leading and driving complex organizational change programs such as re-engineering and automating manual processes to reduce risk and improve operational efficiency.

Sharon previously held various management positions within the Investment division at Pacific Life Insurance Co. and as a result of her tenure at Pacific Life, holds the Series 7 designation. She has been a presenter at industry conferences on a variety of topics and holds a Bachelor of Arts degree from Chapman University, Orange, CA.

In her free time, Sharon can be found exploring the great outdoors in the beautiful Colorado Rockies.

Jeffrey Cannizzaro
Regional Director Business Development & Regulatory Consultant

Jeff consults broker dealers and investment advisers on various issues regarding SEC and FINRA regulations, assists in the preparation for regulatory audits and consults on business issues as they relate to compliance.

Most recently serving in such capacities as Chief Compliance Officer and Chief Risk Officer, Jeff has over 15 years of industry compliance experience and has spent his entire career working in compliance departments for large, complex investment advisers and broker dealers, most recently in an executive capacity.

During his career he has developed both compliance and operational procedures that are uniquely designed to marry compliance requirements with the operational needs of an efficient business. Jeff has worked for some large institutional firms and smaller sized firms as well, thus he understands that compliance solutions need to be grounded in reality and need to be practical and resource-appropriate for each firm.

Jeff has a Bachelor of Arts degree in Economics with a concentration in Finance, from the University of Connecticut, and holds the Series 7, 9, 10, 24 and 63 designations.

Jeff and his wife act as a foster home for abused dogs and welcomed their first child in May 2012.

Hilary Johnson
Regulatory Consultant

Hilary officially joined CWI in 2013 with more than 20 years of securities industry experience. She began her securities industry career in the trading department of a broker-dealer, later transitioning to the compliance area including the time spent working alongside Jeff Groves at ComplianceMax (now National Regulatory Services) as a Senior Compliance Consultant serving both investment adviser and broker-dealer clients.

Hilary earned a B.S. degree Cum Laude from UCLA, and was the recipient of its Chancellor’s Marshall Award given to graduating seniors for outstanding service to the institution. She played professional volleyball for several years after completing her undergraduate studies and during this time period also completed graduate business courses at San Diego State University.  Hilary passed the Series 4, 7, and 24 securities exams.

Hilary continues to enjoy beach volleyball on weekends, occasional golf outings, cooking, and daily walks with her Decker terrier.

Tim Dalton
Business Development Director

Tim has over 25 years experience in the financial services industry participating in several diverse segments.  Prior to joining ComplianceWorks, Tim acted in a Sales and Business Development capacity marketing innovative products and solutions to the RIA, Hedge Fund, and Independent Broker/Dealer channels.

For the majority of his career, he was involved in Institutional Equity Sales and Trading with two major international investment banks as well as a regional Broker/Dealer.  His expertise also includes Compliance, Operations, Mutual Funds, ETF’s, Life Settlements, 401k’s and Employee Benefits.  Early in his career, Tim managed the Mutual Fund trading desk for a California regional investment firm with over 200 financial advisors.

Along with his professional career, Tim is heavily involved in his local community, serving on boards for high school and youth sports teams.  He’s also involved in high school basketball refereeing, acting as an assignor for Marin and Sonoma County high schools.  He’s also far too immersed in the game of lacrosse, a sport he’s never played, but watched his three teenage children participate and enjoy over the years.

Michael Young
Outsourced Compliance Specialist

Michael’s extensive background includes strategic, marketing and policy planning as well as a wealth of knowledge of day-to-day business operations. His expertise provides an edge in guiding our clients toward a successful marriage between their business strategy and objectives and compliance guidelines.

In addition to providing compliance support to CWI’s clients, Michael is Co-founder and Managing Partner and CCO of Echelon Investment Management, a boutique investment firm, and Managing Partner and CCO of Aspen Equity Partners, an investment banking firm, both in Dallas, Texas.

Michael brings with him more than 20 years of leadership, compliance and operational experience in the financial services industry. He was previously Executive Vice President of an independent broker/dealer, and Executive VP and Head Trader for a securities corporation.

Michael graduated from Emory University’s Goizueta Business School in 1992 with a BBA, concentration in Finance. He also earned the designation of Certified Regulatory and Compliance Professional from the FINRA Institute at Wharton which gives him intimate knowledge on securities regulation and the developments in compliance and risk identification practices. He currently holds the following registrations:  3, 4, 7, 24, 27, 53, 63, 65, 79 and 99.

Michael lives in Dallas with his wife, Cindy, and their two yellow Labradors. Michael is an avid cyclist and is a member of the Volharden racing team, part of Williams Racing Academy. He also is a member of the Board of Directors and Treasurer of Williams Racing Academy Development Project, a 501(c)3 not for profit organization focused on providing the support and growth opportunities for young American cyclists. Michael is the former president and current board member and treasurer of the Preston Hollow East Homeowners Association.

Blake Bjordahl
Outsourced Compliance Specialist

Mr. Bjordahl assumes overall responsibility for providing resources to advisors and financial institutions with outsourced compliance oversight, reviews and written assessments.  Blake has the necessary experience, technical skills, and proven leadership to drive consistency in compliance initiatives across a variety of financial firm structures.   Blake focuses on improved organization and governance constructs to improve consistency and robustness of compliance procedures and controls, ongoing employee compliance training, and reporting to deliver the compliance operating environment and technology infrastructure that meets today’s regulatory environment.  Blake has deep IT, cyber security risk management and operational experiences that position him as a cyber defense expert for the company and as a resource to the financial services community.

With more than 25 years of experience in the financial services industry, Blake has led strategic initiatives in compliance, operations, due diligence, marketing and technology at several of the largest independent firms in the country.  He has previously held positions at various leading financial services firms, including Director of Operations at First Allied Securities where he was responsible for reorganizing the operations department and the overseeing of two mergers. Previously, Blake was the Chief Operating Officer for Centuaurus Financial overseeing the day-to-day technology and operations of the broker-dealer and registered investment advisor.

Blake earned his MBA at Vanguard University in Southern California and his Bachelor of Arts degree in Finance from The Mihaylo College of Business and Economics at California State University, Fullerton.  His active licenses include a Series 24, 7, 66 and 53.

Blake presently resides in Southern California with his wife, Jennifer, and their three children.

Kim Estrada
Outsourced Compliance Specialist

Ms. Estrada provides independent, objective, consulting activity designed to add value and improve advisors’ and financial organizations’ operations through outsourced compliance oversight, reviews and written assessments.  Kim has demonstrated experience and acumen in providing guidance to drive a culture of compliance, helping to meet regulatory expectations and reduce risks related to money laundering and litigation. Kim is an expert in the creation and implementation of effective risk management models to deliver a process that tracks the various elements of operational risk over time and to implement an escalation process that ensures that problems are dealt with adequately and expediently. She understands how to set out principals of good risk management and strong operational controls, including the formation and implementation of unambiguous and achievable written policies, procedures, ethics codes, guidelines and related documentation.  Kim possesses specialized domain expertise in investment risk standards and offers assistance in the development of adequate disclosures relating to risks, back-tested performance and conflicts of interest for existing or new product offerings, as well as investment manager recommendations.  Kim also provides guidance regarding grant writing and submission, as well as pending litigation document production, review and analysis.  Many financial institutions have drawn on the experience and expertise of Ms. Estrada in light of the extensive work she has done in the past with respect to operational risk management.

Ms. Estrada has spearheaded complex, heavily regulated issues subject to the jurisdiction of the Securities Exchange Commission and the Commodity Futures Trading Commission.  Ms. Estrada has previously held positions at various financial services firms, including Chief Compliance Officer of Institutional Liquidity, LLC where she received regulatory approval in nine months for a process normally taking eighteen. Previously, Ms. Estrada has been the point of contact for external and internal audits, anti-money laundering, promotional-material approval, back office administration systems and client services at various firms.

Kim graduated from Barry University, Dwayne O. Andreas School of Law (2000) with a Juris Doctor in Law.  She received a Master of Business Administration with a Legal Emphasis from the University of Orlando (1998) and a Bachelor of Arts in English from the University of South Florida with a Minor in International Studies (1996).  Kim is a Certified Anti-Money Laundering specialist (2007) and former ACAMS advisory board member.  She continues to be an active participant in the annual conferences as a guest speaker, committee chairperson and attendee. She frequently speaks to financial compliance organizations, addressing the subjects of AML compliance, risk assessment management, and governance.

Kim enjoys traveling, experiencing local cultures and reading, reading reading. She resides in central Florida.

Donna Cooper
Outsourced Compliance Specialist

Ms. Cooper brings to CWI over 25 years of professional experience in the financial services industry.  Previously a Senior Consultant for a regional consulting firm, she is an experienced industry practitioner who provides compliance consulting proficiency to financial services organizations of all sizes, from start-ups to large, international companies.  Her business experience includes compliance and operations aptitude, supervision, audit, and risk management surveillance ability, and human resources, management, and business development expertise.  Her hands-on, industry knowledge is garnered from her diverse business background.  She served as the Chief Compliance Officer of Butler Capital Investments, LLC, a registered broker-dealer, capital placement and advisory firm that works with talented private placement and alternative asset managers helping to increase their asset growth.  And, was a Vice President, Operations Manager for Salomon Smith Barney, wherein she oversaw the daily broker-dealer compliance responsibilities of the firm while providing supervision to both main & satellite branches.  Before that, she was affiliated with Wheat, First Securities.  Ms. Cooper maintains regulatory licenses (FINRA & NFA) - Series 7, (9/10), 24, 30, 31, 63, 65 (active as needed).  A prior FINRA Non-Public Arbitrator, she is also a Notary Public for the Commonwealth of Virginia.

 Soth Chin
Business Development and Outsourced Compliance Specialist

Soth has over 25 years of financial services experience working with investment advisers, broker-dealers; mutual funds, hedge funds, private equity; and venture capital funds. Most of his 25 years were spent working with startups seeking to form an investment adviser, broker-dealer, mutual funds, or ETFs. He successfully set up investment advisers for wealth management, mutual funds, private equity, and venture capital firms and have helped these firms launch over 50 mutual funds, ETFs and hedge/private equity funds. He also successfully launched and operated several broker-dealers, including a full-service retail online broker-dealer, a bank affiliated broker-dealer, several distributors and most recently a private equity/crowdfunding portal. Soth was solely responsible for designing, automating, maintaining, and supervising the compliance program for these firms. In these firms, Soth served as an Executive, Chief Compliance Officer; and AML Compliance Officer. 

Soth earned his Bachelor's Degree from the University of Maryland and maintains the following active securities licenses: Series 7, 31, 24, 63, 65 and 99. Soth lives in the Washington DC metropolitan area with his wife Jennifer and their three children.

 Nancy O'Hearn
Outsourced Compliance Consultant

Nancy brings 25 years of institutional, capital markets, experience to the CWI compliance team. She began her career as a Trader/Portfolio Manager with Navellier & Associates. She then spent 10 years at Bank of America Securities where she was Managing Director of Prime Trading, an outsourced buyside trading desk within Prime Brokerage. She later worked as Director of Investment Analytics with Hoover Investments and as a Consulting Group Analyst with Morgan Stanley. Most recently, Nancy has been  focused on Private Fund and Registered Advisor compliance and trade desk infrastructure and operations.

Nancy’s experience include working with start-up Funds and Advisors at both State and SEC level.  On-going CCO support activities include the preparation and maintenance of regulatory filings, updates to firm Policy and Procedures/Code of Ethics, conducting annual reviews, employee training, reviewing RFP’s, advertising data and email & personal trading reviews. Other expertise includes assisting clients with soft dollar and best execution practices, portfolio/analyst attribution and TCA analysis and the selection of trading, quotation, OMS, EMS, RMS systems.

Nancy received an MBA in Finance from San Francisco State University and a Bachelor’s degree in Social Science from University of California, Berkeley. Nancy holds FINRA Series 7, 9/10, 24, 55, 63 and 65 licenses. Select professional affiliations include 100 Women in Finance, American Corporate Partners, CalALTS, PAIG, SF Fintech Roundtable, NASDAQ Institutional Traders Advisory Committee, National Organization of Investment Professionals, and the SIFMA Foundation.

In her spare time, Nancy enjoys traveling and spending time with family and friends.