Shannon K. Fitzgerald, Esq., CAMS
Founder & Managing Director
Founder & Managing Director
Shannon Fitzgerald has over 20 years of experience in the securities industry, working with alternative trading systems, broker-dealers, and exchanges, among other financial institutions. As the Founder and Managing Director of Regulatory Ridge, LLC, Shannon assists clients with a wide variety of matters, including annual compliance and supervision reviews, anti-money laundering independent tests, contract preparation and review, corporate governance, internal audits, membership applications, policies and procedures, regulatory examinations, regulatory filings, risk management, and rule interpretation.
Prior to founding Regulatory Ridge, LLC, Shannon was the Assistant General Counsel at Chicago Board Options Exchange, Inc. ("CBOE") (previously Direct Edge, owned by a consortium comprised of Goldman Sachs, Morgan Stanley, Credit Suisse, and Citigroup). Before CBOE, Shannon worked at RBC Capital Markets, LLC in the Legal, Compliance, and Regulatory Risk Departments. Shannon previously worked at the Financial Industry Regulatory Authority, Inc. ("FINRA"), in the Enforcement and Member Regulation Departments. While at FINRA, Shannon was the recipient of the highly coveted President's Award, which was granted by former U.S. Securities and Exchange Commission ("SEC") Chair Mary Schapiro.
Shannon has been approved by both the SEC and FINRA as an Independent Consultant ("IC"), for purposes of auditing member firms pursuant to SEC and FINRA settlement agreements. She has served multiple terms as a member of the National Society of Compliance Professionals’ ("NSCP") Board of Directors, including as the Chair of its Nominating Committee. She has also been a member of NSCP's Governance Committee, Strategic Planning Committee, Service Provider Engagement Committee, and Comment Letter Ad Hoc Committee. Additionally, Shannon is a member of the Securities Industry and Financial Markets Association’s ("SIFMA") Compliance and Legal Society, and was formerly a regular contributor to Fried, Frank, Harris, Shriver & Jacobson LLP's Regulatory Intelligence publication (f/k/a Cadwalader, Wikersham & Taft LLP's Cadwalader Cabinet). She has also volunteered as a judge for SIFMA’s InvestWrite competition, as a guest lecturer for the Federal Reserve System’s Community Classroom Connection Program, and as a guest Professor at New York Law School. Shannon has further been registered with IMS Expert Services and Securities Experts Roundtable as an expert witness.
Shannon earned a Juris Doctor degree from Seton Hall University School of Law, where she received the Best Oral Advocate Award in Appellate Advocacy, and was appointed as the Student Bar Association Senator of her class. Shannon also earned a Bachelor of Arts degree in Psychology from Rutgers College. She is a member of the Colorado and New Jersey State Bar Associations, and is a Certified Anti-Money Laundering Specialist (CAMS). Shannon previously held the Series 7, 24, and 55 licenses.
*Shannon maintains strategic partnerships with various skilled ICs for project-based work. Resumes for these individuals are available upon request.*
Prior to founding Regulatory Ridge, LLC, Shannon was the Assistant General Counsel at Chicago Board Options Exchange, Inc. ("CBOE") (previously Direct Edge, owned by a consortium comprised of Goldman Sachs, Morgan Stanley, Credit Suisse, and Citigroup). Before CBOE, Shannon worked at RBC Capital Markets, LLC in the Legal, Compliance, and Regulatory Risk Departments. Shannon previously worked at the Financial Industry Regulatory Authority, Inc. ("FINRA"), in the Enforcement and Member Regulation Departments. While at FINRA, Shannon was the recipient of the highly coveted President's Award, which was granted by former U.S. Securities and Exchange Commission ("SEC") Chair Mary Schapiro.
Shannon has been approved by both the SEC and FINRA as an Independent Consultant ("IC"), for purposes of auditing member firms pursuant to SEC and FINRA settlement agreements. She has served multiple terms as a member of the National Society of Compliance Professionals’ ("NSCP") Board of Directors, including as the Chair of its Nominating Committee. She has also been a member of NSCP's Governance Committee, Strategic Planning Committee, Service Provider Engagement Committee, and Comment Letter Ad Hoc Committee. Additionally, Shannon is a member of the Securities Industry and Financial Markets Association’s ("SIFMA") Compliance and Legal Society, and was formerly a regular contributor to Fried, Frank, Harris, Shriver & Jacobson LLP's Regulatory Intelligence publication (f/k/a Cadwalader, Wikersham & Taft LLP's Cadwalader Cabinet). She has also volunteered as a judge for SIFMA’s InvestWrite competition, as a guest lecturer for the Federal Reserve System’s Community Classroom Connection Program, and as a guest Professor at New York Law School. Shannon has further been registered with IMS Expert Services and Securities Experts Roundtable as an expert witness.
Shannon earned a Juris Doctor degree from Seton Hall University School of Law, where she received the Best Oral Advocate Award in Appellate Advocacy, and was appointed as the Student Bar Association Senator of her class. Shannon also earned a Bachelor of Arts degree in Psychology from Rutgers College. She is a member of the Colorado and New Jersey State Bar Associations, and is a Certified Anti-Money Laundering Specialist (CAMS). Shannon previously held the Series 7, 24, and 55 licenses.
*Shannon maintains strategic partnerships with various skilled ICs for project-based work. Resumes for these individuals are available upon request.*