Debra M. Schaps*

Director of Administrative Support ServicesDebra M. Schaps - Director of Administrative Support Services

Debra M. Schaps brings over 20 years of vast compliance experience in the financial services industry to the firm. Debra’s management and leadership efforts have largely focused on building a team of seasoned industry professionals who understand the challenges facing the complex and sophisticated securities regulation industry, while simultaneously delivering consistent and superior service. Debra M. Schaps has provided administrative and management support in the following areas:

  • Web CRD Administrator (registration and renewals)
  • Annual Audit Filings Disclosure Events and Customer Complaint Filings
  • Advertisng Regulation Electronic Filings
  • 3230(c)(3) Notifications Regulatory Notifications
  • Focus
  • FINRA¬†Contact System
  • Compliance Exams and Web IR filings
  • Continuing Education
  • AML 314(a) and 314(b) Filings
  • Limited Size and Resource Notifications
  • Books and Records Audits
  • Set up and Maintenance of Initial Broker-Dealer Books and Records
  • Initial Broker-Dealer Application Filings
  • Training of Administrative Compliance Requirements

Employment

Prior to joining the firm, Debra M. Schaps was part of the founding team and served in a variety of executive positions for a privately owned, broker-dealer consulting firm. Ms. Schaps served as Vice President of Broker-Dealer Division managing the product and delivery of approximately 100 active clients with a team of 4-8 staff members. Debra was also instrumental in leading the Insurance Division where she managed the licensing requests of approximately 60 active clients with a team of 4 staff members. Debra also served as Special Projects Supervisor managing the critical delivery of new products related to regulatory compliance; the roll out of new divisions; training of support staff; legal administrative support related to regulatory inquiries; and back testing of internal systems for quality assurance.

Education

Completed Coursework at Sam Houston State University, Huntsville, Texas

Professional Affiliations

Previously a member of SILA (Securities Industry Licensing Association)

Speaking Presentations

Debra M. Schaps has served as a speaker for SILA (Securities Industry Licensing Association)

 

*Debra M. Schaps is not licensed to practice law