Managing Director, Bates Compliance
Robert ("Bob") Lavigne is Managing Director of Bates Compliance, where he draws on nearly 20 years of experience with investment adviser, broker/dealer firms and trust companies in compliance, risk management, financial regulations, ethics and operations. Mr. Lavigne is an experienced compliance professional with a regulatory background and an established record of creating and supervising exceptional compliance and supervision systems.
While at PwC, Mr. Lavigne worked with investment companies, broker-dealers, banks, insurance companies and trust companies to develop compliance and operational processes, as well as to perform specific reviews of these entities around trading activities, supervisory requirements, and annual compliance reviews. He has experience supporting Investment Advisors and registering new affiliated broker-dealers. Furthermore, he has developed testing programs, surveillance systems/processes and back office procedures for registered broker-dealers and has helped develop first-, second- and third-line functions designed to achieve compliance with regulatory and client expectations.
Prior to joining PwC, Mr. Lavigne was the Chief Compliance Officer of a registered investment adviser and broker-dealer, in charge of all aspects of compliance, risk management, forensic and annual testing and anti-money laundering. He has also worked as a senior examiner at the Boston district office of FINRA. In this role, Mr. Lavigne worked on investigations and examinations of registered Broker/Dealers and fund distributors.
Mr. Lavigne has been an invited speaker at national training conferences. He holds a Bachelor’s Degree in Criminal Justice from Westfield State University and earned his MBA from Anna Maria College. In addition, he has held Series 7, 24, 6, 26, 53, 4 & 65 licenses.
PricewaterhouseCoopers, Director, Financial Services Risk & Regulatory Practice, 2011 – 2017
GW & Wade LLC / GW & Wade Asset Management Company, LLC, Chief Compliance Officer, 2005 – 2011
FINRA, Senior Compliance Examiner, 2003 – 2005
Veravest Investments Inc. / Allmerica Investments, Inc., Senior Suitability Analyst, Team Manager, Assistant Vice President, 2000 – 2003
PFPC Global Fund Services/Frist Data ISG, Westborough, MA, Senior Investment Specialist, 1998 – 2000
Anna Maria College, Paxton, MA, Masters of Business Administration, Finance, Strategy & Leadership
Westfield State University, Westfield, MA, Bachelors of Science, Criminal Justice, 1995
FINRA Series 4, 6, 7, 24, 26, 53, 63 (inactive)
NASAA Series 65 (inactive)
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.Contact Bates Group