Lisa Estrada
Chief Compliance Officer - Financial Services Compliance
Professional Overview
Lisa Estrada is an accomplished financial services compliance professional with over 20 years of experience in the industry. As the Chief Compliance Officer at The Baldwin Group, she is responsible for developing and implementing comprehensive compliance programs that ensure her organization adheres to all relevant regulations and industry best practices.
Experience Summary
Current Role
In her current role as Chief Compliance Officer at The Baldwin Group, Lisa is responsible for overseeing the firm's compliance with all applicable financial regulations, including those set forth by the SEC, FINRA, and other regulatory bodies. She works closely with senior leadership to establish and maintain robust compliance policies, procedures, and controls, while also providing strategic guidance on compliance-related matters. Under Lisa's leadership, The Baldwin Group has maintained a strong compliance record and earned a reputation as an industry leader in ethical business practices.
Career Progression
Prior to her current role, Lisa served as the Director at ACA Group, where she managed a team of compliance professionals and spearheaded the development of innovative compliance solutions for financial institutions. Before that, she held the position of Consultant at Financial Institution Group, LLC, where she advised clients on a wide range of compliance-related issues. Early in her career, Lisa served as the Chief Compliance Officer at Institutional Liquidity, LLC and as a Compliance Officer at AEGON Americas.
Academic Background
Lisa holds a Bachelor's degree in Business Administration from the University of Central Florida, where she graduated with honors. She is also a Certified Compliance and Ethics Professional (CCEP) and a member of the Society of Corporate Compliance and Ethics.
Areas of Expertise
- Financial regulations and compliance
- Risk management and internal controls
- Compliance program development and implementation
- Regulatory reporting and auditing
- Compliance training and education
- Team leadership and project management
Professional Impact
Throughout her career, Lisa has demonstrated a proven track record of developing and implementing effective compliance programs that have helped her clients and employers navigate complex regulatory environments. She has been recognized for her industry contributions, having been invited to speak at numerous industry conferences and events on topics related to financial compliance and risk management.
Conclusion
With her deep understanding of the financial services industry, strong technical expertise, and exceptional leadership abilities, Lisa Estrada is a highly respected compliance professional who is poised to continue making a significant impact in her current and future roles.
