We Can Provide all of Your Principal Outsourcing, Compliance & Training Needs
At Patten Training & Review LLC, we provide specialized services to the Financial Services industry.
Our customized services are designed to provide you with affordable financial expertise. We strive to exceed your expectations and have developed strategic relationships over the years that we can leverage to ensure cost-effective compliance solutions for your firm.
We have the skills and expertise to help you stay compliant in today’s ever-changing regulatory environment.
We have the skills and expertise to help you stay compliant in today’s ever-changing regulatory environment.
Our Team
Deirdre PattenDeirdre brings over 30 years of experience in the Compliance and Financial Services Industry. Ms. Patten has operated as FINOP as well as General Securities Principal, Options Principal, Municipal Principal and CCO for numerous firms throughout the country. In addition, for almost 20 years, she has instructed industry classes while overseeing the quality of classroom content and classroom instructors.
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Saundra Hudspeth Saundra began her career in the Financial Services industry in 1993. She spent 17 years with USAA Investment Management Company in an operations and compliance capacity. She was with Nationwide Securities, LLC. for 10 years as Field Securities Principal for the western, southern and mid-western regions of the U.S. Saundra specializes in securities compliance and supervision, where she operates as General and Municipal Securities Principal and CCO.
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Alona KornbergAlona is a Compliance Analyst for Patten. She is responsible for conducting audits, monitoring regulations, third-party vendor management, firm element administration, managing client communications, and support for the Company’s Principals. Alona has experience with creation of regulatory documentation, including WSPs, AML Policies, BCPs, Disclosures, and compliance database management.
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Dan RobertsDan is currently serving as a CCO, Compliance Director, and Options and Muni Principal with Patten. Over 25 years’ experience including conference-speaking engagements, training meetings, and on-site Supervisory visits. In depth knowledge of financial products. Prior responsibilities include OSJ and Branch office compliance, risk reporting, WSP and AML editing, auditing, continuing education administration, Form BD and Form ADV maintenance, and staff management.
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FinOps
Susan HayesSusan brings over 30 years experience in finance and accounting with over 20 years direct experience as a FinOp. She is experienced in DMA institutional brokerage, investment banking, audit preparation, acquisitions and divestitures, and strategic tax planning. Susan offers comprehensive financial and administrative experience with diverse corporations and partnerships, successfully managing operations, controlling costs and positioning businesses for continued growth. She effectively interacts with bankers, investment bankers, accountants and auditors, regulators, attorneys, investors and other business professionals.
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Ivana ShumbergIvana is a CPA and a Chartered Global Management Accountant. She has over 20 years experience acting as the CFO and EVP for several financial services companies. Her responsibilities included closing transactions, financing, managing construction projects, tax compliance, setting up and managing a private foundation as well as managing other private assets. Ivana is knowledgeable in various types of tax filings, and spear-headed the completion of legal and tax documents related to various types of business organizations on behalf of her clients. She is also well-versed in preparing GAAP financial statements. Since April 2019, she has served as an outsourced FINOP.
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Specialty Services
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Chief Compliance Officer
Variable Products Principal
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Registered Options Principal
Supervisory Principal
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Municipals Principal
FINOP
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Investment Banking Principal
Content Development
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Other services offered include RIA CCO and compliance services, mergers and acquisitions, branch audits, Annual Compliance Meeting, WSP review & update, 3rd party AML testing, editorial review, product rollouts, in-house custom corporate training programs, email surveillance, executive training programs, and we are also available for public speaking engagements.
Patten Training & Review is dedicated to financial individuals and their firms by
providing quality training and compliance solutions through the
use of our effective, efficient, and proven expertise.
