Our consultants and Chief Compliance Officers have strong operating and compliance experience from a wide array of corporate organizations and regulators. Our business operations and compliance experience provides the “in the trenches” knowledge and, when coupled with our regulatory background, provides the necessary expertise to recognize and act on the expanding challenges facing financial and operational compliance efforts today. Other staff bios are available upon request.
Janaya P. Moscony, President
As a former Securities and Exchange Commission (“SEC”) regulator, Janaya has significant experience in the examination, implementation and enforcement of securities regulations. Having worked in private practice as a compliance officer and as a consultant, Janaya is able to provide practical guidance to clients to assist in bridging the gap between the regulatory requirements and business needs. Janaya is a recognized industry expert regularly quoted in the financial press, has appeared on industry television such as CNBC, and is a regular speaker at industry conferences including GAIM-Ops. Janaya routinely assists companies faced with multiple regulators both within the US and internationally including, but not limited to, Canada, South America, Europe and Asia.
Prior to incorporating SEC3 in 2003, Janaya served as Vice President of Bank of Hawaii’s Asset Management Group where she advised and implemented the bank’s regulatory compliance program. Prior to the Bank of Hawaii, Janaya was employed as a regulatory consultant by BISYS Professional Services (“BISYS”), where she managed numerous client engagements for banks, mutual funds, investment advisers and broker-dealers. Prior to BISYS, Janaya worked as an examiner for the Philadelphia District office of the SEC for 5 years where she worked on routine and “for-cause” examinations and enforcement cases on behalf of a broad range of financial entities. She routinely liaised with other regulatory entities including the NASD, NYSE and state regulators. Janaya also led numerous staff training sessions while at the SEC and BISYS.
Janaya received her Chartered Financial Analyst (“CFA”) designation in 1999 and she earned a B.A. in Economics and Spanish from Rutgers University in 1995.