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Shannon Fitzgerald has spent her career in the securities industry, working with alternative trading systems, institutional broker-dealers, and national securities exchanges, including venues trading NMS equities, private securities, and tokenized digital assets. She assists clients with membership applications, regulatory filings, policies and procedures, and governance and committee charter documentation. On an ongoing basis, she conducts internal audits, annual compliance and supervision reviews under FINRA Rules 3110 and 3120, and Regulation SCI readiness and annual reviews. She also handles examination request and exit letter responses, third-party and outsourcing agreement review, and rule interpretation.

Prior to founding Regulatory Ridge, Shannon was Assistant General Counsel at Direct Edge — owned during her tenure by a consortium of Goldman Sachs, Morgan Stanley, Credit Suisse, and Citigroup, and later acquired by BATS Global Markets and, in turn, CBOE. She previously worked at RBC Capital Markets in the Legal, Compliance, and Regulatory Risk Departments, and at FINRA in the Enforcement and Member Regulation Departments, where she received the President's Award from former SEC Chair Mary Schapiro.

Shannon is a member of the Security Traders Association's New York and Connecticut affiliates (STANY and STACT), and currently serves on the STANY board. She also serves as a Disciplinary Panel Member of Rothera and is a member of SIFMA's Compliance and Legal Society.

Previously, Shannon served multiple terms on the National Society of Compliance Professionals' Board of Directors, including as Chair of its Nominating Committee. She was additionally registered with IMS Expert Services and Securities Experts Roundtable as an expert witness, and has lectured at New York Law School and for the Federal Reserve System's Community Classroom Connection Program.