Anna Felipe is a highly experienced compliance professional with over 17 years of industry experience. She joined RND Compliance in 2010 as a Senior Compliance Consultant, where she has since specialized in analyzing compliance issues related to SEC and FINRA rules. Her areas of expertise include strategic planning, as well as the completion of New Membership Applications (1014) and Continuing Membership Applications (1017), AML testing, supervisory control reviews, and regulatory examination support for broker-dealers, including the preparation of responses to SEC, FINRA, or state regulatory bodies.

Anna enjoys working with clients and businesses in the securities industry, which allows her to continually develop her knowledge, skills, and expertise. Prior to joining RND Compliance, Anna worked as a securities examiner with FINRA Member Regulation from 2006-2009, and as a case assistant at NASD (now FINRA) Dispute Resolution from 2002-2006.

Anna earned her Bachelor of Science degree in Applied Economics from De La Salle University in Manila.