The FrontLine Compliance Advantage
FrontLine Compliance, LLC, (FLC) is a full-service independent
consulting firm providing compliance services to broker-dealers, hedge
funds, investment advisers, investment companies, and insurance affiliates. We specialize in providing compliance solutions customized to
fit your unique business structure.
Our advantage is our people. FLC is made up of highly qualified
individuals with years of experience as SEC Examiners, NASD
Investigators, and Chief Compliance Officers of broker-dealers and
investment advisers. FLC’s staff has conducted hundreds of regulatory
inquiries and investigations. As former regulators we know what the
regulators look for when conducting firm examinations and our knowledge
is a valuable resource. Each of our consultants holds the Wharton School
sponsored Certified Regulatory Compliance Professional (CRCP)
designation or is in the process of obtaining certification.
We take our responsibility to the industry as seriously as we do our
commitment to our clients.
Amy Lynch is the founder and President of FrontLine Compliance, LLC.
Ms. Lynch has over 19 years experience in the financial industry. She began her compliance career with the SEC's Office of Compliance Inspections & Examinations, working in both the New York and Washington, DC offices. At the SEC, she was responsible for conducting examinations of mutual funds, investment advisers, and insurance firms nationwide. From there she moved into the private sector where she served as DOC and CCO for firms such as Mercantile Capital Advisors, Inc. (a bank affiliated investment adviser) and E*Trade Financial, and was Vice President at RegEd.com, where she developed a leading branch audit software program. Ms. Lynch later returned to the regulatory side with FINRA's Enforcement Department in Washington, DC. She specialized in heightened regulatory issues confronting the securities industry and was responsible for managing several industry wide "sweeps" conducted by FINRA Enforcement during 2003-2005.
During her distinguished career, Ms. Lynch has been recognized as an expert on a number of high profile regulatory issues involving investment adviser compliance, variable insurance products, mutual funds, and hedge funds. Ms. Lynch was one of the first graduates of the FINRA Institute/Wharton School Certification Program and holds the Certified Regulatory Compliance Professional ("CRCP") designation in addition to her B.S. in Business and Economics.
Ms. Lynch has been a frequent speaker at industry conferences sponsored by such organizations as the Securities Industry and Financial Markets Association (SIFMA), ALI-ABA, Institutional Investor, BD Week, and Financial Research Associates. She has presented on a variety of regulatory topics such as investment adviser compliance, variable product compliance, soft dollars, mutual fund compliance, valuation, advertising, electronic communications and outsourcing.
 Mr. Arvantides oversees all new business development and strategic alliances for FrontLine Compliance, LLC.
Mr. Arvantides has over 13 years experience in the securities industry and financial marketplace. Prior to joining FrontLine Compliance, he spent seven years as a Special Investigator with FINRA's Enforcement Department in Washington, D.C. While at FINRA, Mr. Arvantides conducted investigations of both small and mid size firms, as well as large financial conglomerates, to determine compliance with FINRA and SEC rules. From 1999 to 2006, he worked on FINRA's most high profile investigations, including market manipulation, day trading, conflicts of interest between research and investment banking, email retention, mutual fund market timing, variable annuity suitability, and directed brokerage. In addition, Mr. Arvantides was previously with KPMG LLP as a consultant within their Forensic and Litigation division where he focused on financial services consulting. His other experience includes financial markets research and investor relations.
Mr. Arvantides has completed FINRA Enforcement's Regulatory Training Program, the National Institute for Trial Advocacy (NITA) Deposition Training, and courses with the New York Institute of Finance's Securities Industry Program. He holds the FINRA Institute/Wharton School sponsored Certified Regulatory Compliance Professional (CRCP) designation, in addition to his B.A. from Hobart College.
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