Erin Baskett, CPA, CGMA

Erin Baskett, CPA, CGMA

Erin Baskett is a Bates Consulting and Testifying Expert and the founder and CEO of Sine Qua Non Global (SQN-Global.com). Erin holds multiple certifications and regulatory licenses, which enables SQN Global to be a valuable partner for any financial institution. She is a financial, compliance, and operational executive with significant experience in accounting, auditing, business consulting, capital markets, and financial services, with a solid knowledge of U.S. GAAP, tax, IFRS, FINRA and SEC rules in companies with both domestic and international presence. 

Erin’s specialty is in providing solutions for driving revenue and delivering operational cost-efficiencies that strengthen the bottom line. Erin has experience in starting up financial services firms for SQN clients, as well as stepping in and serving in multiple executive titles to ensure an existing company continues to run compliantly. 


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Erin Baskett, CPA, CGMA

A Consultant and subject matter expert in these services:

  • Securities and Financial Services Litigation & Consulting
    • Retail
      • Securities and Financial Services Litigation & Consulting
      • All Risk Coverage
      • Alternative Investments
      • Branch Management
      • Broker Dealer (B-D)
      • Broker Obligations
      • Clearing
      • Corporate Finance
      • Corporate Governance
      • Currencies
      • Customer Relationship Summary - Form CRS
      • Cybersecurity & Privacy
      • Data Breach & Risk Management
      • Data & Computer Forensics
      • Elder Issues
      • Employment
      • Equities
      • Equity Research
      • ETFs
      • Exchanges
      • Fiduciary Duties/Responsibilities
      • Fiduciary Investments
      • Financial Institution Sales
      • Financial Technology (FinTech)
      • Fixed Income
      • Fraud
      • High Frequency Trading
      • Insider Trading
      • Information Management
      • Introducing Firm/Clearing Firm Relationship
      • Industry Standards
      • Investment Advisory
      • Investment Management
      • Margin
      • Market Manipulation
      • Money Laundering
      • Mutual Funds
      • Operational Complaints
      • Options
      • Operations
      • Outside Business Activity
      • Private Placements
      • Private Securities Transactions
      • Portfolio Management
      • Senior Investors
      • Sales Supervision
      • Securities Lending Accounts
      • Suitability
      • Supervision
      • Wealth Management
      • 40 Act - 12B1 Fees
      • 401K/Pension/Retirement
      • Branch Management
      • Broker Obligations
      • Capital Markets
      • Clearing
      • Corporate Bonds
      • Corporate Finance
      • Corporate Governance
      • Complex Products
      • Currencies
      • Cyber Security & Privacy
      • Data Breach & Risk Management
      • Data & Computer Forensics
      • Equities
      • Equity Financing
      • Equity Research
      • ERISA
      • Exchanges
      • Financial & Asset Management
      • Financial Institution Sales
      • Financial Technology (FinTech)
      • Foreign Exchange Trading
      • Hedge Funds
      • Industry Standards
      • Information Management
      • Insider Trading
      • Institutional Trading Supervision
      • Introducing Firm/Clearing Firm
      • Investment Advisory
      • Investment Management
      • Market Evaluations
      • Market Manipulation
      • Money Laundering
      • Mutual Fund
      • Mutual Fund Operations
      • Operations
      • Operations & Controls
      • Options
      • Prime Brokerage
      • Private Equity
      • Private Placements
      • Private Securities Transactions
      • Portfolio Management
      • Quantitative Analysis
      • Relationship
      • Selling Away
      • Sales Practice
      • Sales Process
      • Sales Supervision
      • Trading
      • Data, Analyses & Analytics
      • AML & Financial Crimes
      • Forensic Accounting and Economic Damages
      • Compliance Solutions
      • Insurance and Actuarial Services
    • Institutional
      • Securities and Financial Services Litigation & Consulting
      • All Risk Coverage
      • Alternative Investments
      • Branch Management
      • Broker Dealer (B-D)
      • Broker Obligations
      • Clearing
      • Corporate Finance
      • Corporate Governance
      • Currencies
      • Customer Relationship Summary - Form CRS
      • Cybersecurity & Privacy
      • Data Breach & Risk Management
      • Data & Computer Forensics
      • Elder Issues
      • Employment
      • Equities
      • Equity Research
      • ETFs
      • Exchanges
      • Fiduciary Duties/Responsibilities
      • Fiduciary Investments
      • Financial Institution Sales
      • Financial Technology (FinTech)
      • Fixed Income
      • Fraud
      • High Frequency Trading
      • Insider Trading
      • Information Management
      • Introducing Firm/Clearing Firm Relationship
      • Industry Standards
      • Investment Advisory
      • Investment Management
      • Margin
      • Market Manipulation
      • Money Laundering
      • Mutual Funds
      • Operational Complaints
      • Options
      • Operations
      • Outside Business Activity
      • Private Placements
      • Private Securities Transactions
      • Portfolio Management
      • Senior Investors
      • Sales Supervision
      • Securities Lending Accounts
      • Suitability
      • Supervision
      • Wealth Management
      • 40 Act - 12B1 Fees
      • 401K/Pension/Retirement
      • Branch Management
      • Broker Obligations
      • Capital Markets
      • Clearing
      • Corporate Bonds
      • Corporate Finance
      • Corporate Governance
      • Complex Products
      • Currencies
      • Cyber Security & Privacy
      • Data Breach & Risk Management
      • Data & Computer Forensics
      • Equities
      • Equity Financing
      • Equity Research
      • ERISA
      • Exchanges
      • Financial & Asset Management
      • Financial Institution Sales
      • Financial Technology (FinTech)
      • Foreign Exchange Trading
      • Hedge Funds
      • Industry Standards
      • Information Management
      • Insider Trading
      • Institutional Trading Supervision
      • Introducing Firm/Clearing Firm
      • Investment Advisory
      • Investment Management
      • Market Evaluations
      • Market Manipulation
      • Money Laundering
      • Mutual Fund
      • Mutual Fund Operations
      • Operations
      • Operations & Controls
      • Options
      • Prime Brokerage
      • Private Equity
      • Private Placements
      • Private Securities Transactions
      • Portfolio Management
      • Quantitative Analysis
      • Relationship
      • Selling Away
      • Sales Practice
      • Sales Process
      • Sales Supervision
      • Trading
      • Data, Analyses & Analytics
      • AML & Financial Crimes
      • Forensic Accounting and Economic Damages
      • Compliance Solutions
      • Insurance and Actuarial Services
  • Data, Analyses & Analytics
  • AML & Financial Crimes
    • Anti-Money Laundering
    • Third Party Risk Management
    • Forensic Accounting
    • Internal Investigations
    • Fraud & Risk Management
    • Valuation
    • SPACs
    • BSA/AML/OFAC Compliance
    • Money Transmitter Licensing
    • MSB Consulting
    • Virtual and Cryptocurrency Compliance
    • BitLicense
  • Forensic Accounting and Economic Damages
  • Compliance Solutions
    • Broker-Dealers
    • Registered Investment Advisers
    • Cyber Security
    • Anti-Money Laundering
    • Compliance Testimony
    • Telephone Consumer Protection Act (TCPA) Compliance & Litigation
  • Insurance and Actuarial Services

Credentials

EXPERIENCE

Sine Qua Non Global LLC, Chief Executive Officer (CEO), President, CCO, and FinOP Contractor, Scottsdale, AZ, 2019 – Present

Autonomous Research, Founding and Managing Partner – Global Chief Compliance Officer (CCO), AMLCO, Chief Financial Officer (CFO), New York, NY, 2012 – 2019

Smith Moore & Co., EVP / Chief Financial Officer, Director of Internal Audit (IA), St. Louis, MO, 2010 – 2012

WNN, P.C., Senior Audit Job Manager and Business Consultant, St. Louis, MO, 2004 – 2010

Moneta Group, Financial Assistant - Family CFO, St. Louis, MO, 2003 – 2004

A.G. Edwards, Broker-Dealer Operations, St. Louis, MO, 2001 – 2003

EDUCATION

Bachelor of Arts (BA), Business and International Finance, University of Missouri, Columbia, MO

  • Dean’s List, Who’s Who, and Cum Laude honors

Master of Business (MBA), Accounting, Lindenwood University, St. Louis, MO

  • National Dean’s List
PROFESSIONAL QUALIFICATIONS/LICENSING

Licensed: Series 24 (General Securities Principal), Series 27 FINOP (Financial and Operations Principal), Series 7 (General Securities Representative), Series 99 (Operations Principal), Series 65 (Registered Investment Advisor), Series 14 (Chief Compliance Officer), Series 57 (Trading Principal) and Series 4 (Registered Futures and Options Principal)

CPA – Certified Public Accountant

CGMA – Chartered Global Management Accountant

Certified Human Resources Specialist (CHRS)

PROFESSIONAL MEMBERSHIPS

Member of AICPA Women in the Profession, CPA and Business Professional Group, Finance Club, and Missouri Society of Certified Public Accountants. Accounting Executive Research Committee member

FINRA District Committee Member

YZF Advisory Board member – St. Louis Zoo

PROFESSIONAL RECOGNITION

Named to “Power 30 under 30,” Business Journal’s “30 Under 30,” and St. Louis Post-Dispatch “Up and Coming” List