Alexis Schumman

Alexis Schumann is a Bates Testifying and Consulting Expert, as well as a seasoned compliance and risk management professional with over 27 years of hands-on experience in the financial services industry, advising broker-dealers, RIAs, and multi-firm enterprises. Her deep background spans regulatory relations, operational risk, technology compliance, enterprise risk management, policy development, and compliance infrastructure design.

She previously held senior leadership roles, including Chief Compliance Officer and Executive Director, at Atria Wealth  Solutions where she oversaw regulatory administration, technology compliance, books-and-records management, policy governance, and exam preparedness across national networks. Earlier in her career, she served as Chief Regulatory Officer at Osaic where she directed more than 180 regulatory exams, led AML, branch examinations, investigations, surveillance, and compliance operations.

Alexis brings a practical yet strategic approach to compliance, specializing in the design of robust compliance and supervisory programs tailored for broker-dealers, investment advisers, and hybrid firms. Her expertise includes overseeing exam readiness and managing regulatory examinations, as well as leading remediation efforts and corrective action planning. She also integrates compliance standards into technology platforms, with a focus on governance related to emerging technologies and AI. In addition, Alexis develops and implements comprehensive policies, procedures, and training frameworks to support strong and sustainable compliance practices.

Alexis is recognized for her ability to partner with business leaders, advisors, and technology teams to create compliant, practical solutions that support firm growth. Her work includes designing regulatory training programs, modernizing books-and-records systems, building AI governance frameworks, integrating compliance standards into new technologies, and aligning policies across complex multi-firm environments.