Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.
Managing Director, Bates Compliance
Rhonda Davis is the Managing Director of the Compliance Practice at Bates Group. She joined Bates Group in 2021 and is based in Houston, Texas. Prior to joining Bates, she founded Cobia Compliance LLC in 2009 to provide regulatory and consulting services to broker-dealers and investment advisers and specializes in AML independent testing, FINRA 3120 testing, and annual Rule 206(4)-7 testing for investment advisers. Ms. Davis also assists with FINRA Membership Applications, Continuing Membership Applications, and with winding down operations. Other services she provides include assisting with FINRA and SEC examinations and examination responses, litigation support for broker-dealers and investment advisers.
Ms. Davis has spent nearly 25 years serving in both legal and compliance roles in the securities industry. She began her career in the securities industry as in-house counsel and Chief Compliance Officer for a boutique bond firm in Jackson, Mississippi. She then served as Legal Officer for a national bank where she was also responsible for compliance for the bank’s investment adviser, mutual funds, and trust company. In 2005, she moved to Houston, where she was Chief Compliance Officer for an SEC-registered investment advisory firm and a senior compliance officer for the firm’s affiliated broker-dealer.
Ms. Davis holds both the Certified Anti-Money Laundering Specialist (CAMS) as well as the Certified Fraud Examiner (CFE) designations. She is also licensed to practice law in both Mississippi and Texas but is not currently practicing. She is an active member of the Houston Fraud Association and serves on the Board of Our Daughters House, a home for girls who age out of foster care.
Bates Group LLC, Consultant, Managing Director, 2021 – Present
Cobia Compliance LLC, Owner and Managing Member, 2009-2021
Stanford Group Company (SGC), Winddown Specialist for Receivership, 2009-2011
Stanford Capital Management, Chief Compliance Officer, 2007-2009
Stanford Group Company, Compliance Officer, 2005-2007
Trustmark National Bank, Legal Officer, 2005
Rives, Leavell & Co., Chief Compliance Officer, In-House Counsel and Audit Manager, 1995-2000
Private Attorney, areas included Creditor Bankruptcy and Real Estate Law, 1993-1995
Juris Doctor, Mississippi College School of Law, Clinton, MS, 1993
Bachelor of Arts (B.A.), Louisiana Tech University, Ruston, LA, 1990
Member of Texas and Mississippi Bar Associations
CAMS – Certified Anti-Money Laundering Specialist
CFE – Certified Fraud Examiner
CFIRS – Certified Fiduciary Investment Risk Specialist
Member ACAMS (Association of Certified Anti-Money Laundering Specialists)
Member Certified Fraud Examiners Association
Member Houston Fraud Association
Currently holds SIE securities license
Previously held Series 7, Series 65, and Series 63 securities licenses