Ellen Bruno | ENGAGE 2020

Ellen Bruno

President, Compliance Advisor Professionals,LLC
Berkley, MA

Ellen M. Bruno is the President of Compliance Advisor Professionals, LLC. She has worked in the securities industry for over twenty-nine 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 PWC 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. Ellen holds a BS in Management/Accounting from the University of Massachusetts. She formerly served as a member of the Personal Financial Planning Executive Committee of the American Institute of Certified Public Accountants and continues her service as a member of the related Task Force on Legislative and Regulatory Issues. She is also a member of the American Institute of Certified Public Accountants, the Massachusetts Society of Certified Public Accountants, and the National Society of Compliance Professionals. She is frequently invited to speak on securities industry compliance matters and investment adviser compliance regulations. Ellen is a member of the Bristol-Plymouth Regional Technical School Committee, and is chair of the Policy and Personnel sub-committees