Lisa LaFond has over two decades of compliance experience, most notably with Purshe Kaplan Sterling from 2004 to 2021, where she advanced from Assistant Compliance Officer to Chief Governance Officer and Chief Compliance Officer for PKS Advisory Services. Throughout her tenure, Lisa developed and implemented practical approaches to compliance that emphasized proactive risk identification, clear communication of regulatory requirements, and the integration of compliance into daily business operations. Additionally, Lisa managed legal matters, including litigation and contract review, and participated in dispute resolutions such as mediation and arbitration, applying hands-on strategies to resolve issues efficiently while minimizing organizational risk.

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Previously, Lisa was a Financial Analyst at The Ayco Co., a Goldman Sachs company. She holds a B.S. in Business Economics (SUNY Oneonta), an MBA in Finance (Canyon College), and a Juris Doctor (Taft Law School). She previously held Series 7, 24, and 63 securities licenses.