Ellen M. Bruno is the President of Compliance Advisor Professionals, LLC. She has worked in the securities industry for over thirty years. In addition to her certifications, she is a specialist in investment advisor compliance and registration issues.
She is responsible for the strategic direction of Compliance Advisor Professionals including client service, marketing and business development.
Prior to founding CAP, Ellen was Chief Compliance Officer for a registered investment adviser and a broker/dealer; the Secretary/Treasurer of an investment company trust; and developed an internal compliance consulting program for a large financial services firm. Ellen began her career at Price Waterhouse where she gained experience with compliance issues, and investment adviser registration, and regulatory requirements. One of her greatest strengths is her knowledge of the industry from various perspectives. Ellen uses this knowledge to work with clients to develop pragmatic solutions that fit within the framework of regulations and business operations.