Allyson Saldivar has over 13 years of dedicated compliance experience within the financial services industry through her tenure at the LeGaye Law Group. In her role, she supports a broad spectrum of regulatory and operational functions critical to broker-dealer compliance. Her work includes managing new and continuing FINRA membership applications, overseeing the onboarding process for new personnel, and assisting with the review and preparation of annual reports required under FINRA Rule 3120 and anti-money laundering (AML) regulations. She also plays a key role in drafting and maintaining written supervisory procedures, coordinating FINRA and state registrations, including those for Offices of Supervisory Jurisdiction (OSJs), Registered Supervisory Locations (RSLs) and branch offices, and supporting responses to FINRA regulatory inquiries and examinations. Prior to her compliance career, Ms. Saldivar held leadership roles outside the financial industry, serving as Operations Manager for Gold’s Gym Corporation and as Co-Owner of A1 Roadside Service. Ms. Saldivar is not a licensed attorney.
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