Meet Our Team

Compliance as a way of life

Jeff Groves

President

Sharon Goldberg

Regulatory Consultant

Jeffrey Cannizzaro

Regional Director Business Development & Regulatory Consultant

Hilary Johnson

Regulatory Consultant

Blake Bjordahl

Outsourced Compliance Specialist

Donna Cooper

Outsourced Compliance Specialist

Soth Chin

Business Development and Outsourced Compliance Specialist

Travis Dragomani

Outsourced Compliance Specialist

Nancy O'Hearn

Outsourced Compliance Specialist

Kim Estrada

Outsourced Compliance Specialist

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Learn how we can help you reduce the time and work needed to maintain your compliance program. No obligation! Plus, selecting a level of service is easy since the outsourced tasks can be changed any time with your changing needs.

Jeff Groves

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.

Sharon Goldberg

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.

Jeffrey Cannizzaro

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.

During his career Jeff 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.

Hilary Johnson

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

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.

Blake Bjordahl

Blake 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.

Donna Cooper

Ms. Cooper brings to CWI over 27 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

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.

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.

Travis Dragomani

Travis has 20 years of regulatory compliance experience working as a former NYSE Regulator, “Big 4” Advisory Consultant, and a Senior Consultant with a large regulatory consulting firm, he has audited and advised over 200 broker-dealers.

Travis came to KPMG from the NYSE where he served as a Sales Practice Regulatory Examiner (prior to the NYSE and NASD combining to form FINRA). There he examined member firms’ supervisory standards and sales practices to ensure compliance with NYSE and SEC Rules and Regulations; reviewed firms’ Anti-Money Laundering Program, Research, Syndicate, Books and Records, Customer Complaints, Mutual Funds, Account Activity, Branch Office Reviews, etc.

He currently maintains the Association of Certified Anti-Money Laundering Specialists (ACAMS) certification and holds a Bachelor of Arts degree from the University of Connecticut in English and History.

Nancy O'Hearn

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.

Kim Estrada

Kim 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.

Kim 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.

Michael Young

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.

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.

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.

Tim Dalton

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.

To Our Valued Clients:

Due to the severity of what we are facing, ComplianceWorks has decided to take proactive action to honor our commitment to truly being a partner with our clients.  We understand that falling short on compliance obligations in reaction to this difficult environment would only further increase risk to our clients.  Thus, effective April 1, you will be given a temporary [10%-25%] reduction in the monthly ComplianceWorks’ fee without a reduction in service or tasks outsourced to ComplianceWorks.  This puts the cost of our services more in-line with the uncertainty of firm financial conditions and puts our firms in the same boat as we all work toward recovery.  We will re-evaluate the discount every 3 months to determine then continuance and the amount of reduction going forward. 

Please understand that the reduction in your fee is not permanent and that at some point in the future we will return to the normal contracted price for the services provided.

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