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Tammy Tam


Senior Compliance Associate

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go to listings >

Tammy Tam


Senior Compliance Associate


Tammy was most recently a Compliance Consultant partnering with broker-dealers to enhance their compliance programs and mitigate regulatory risk. She spent nine years at FINRA as a Principal Examiner working on regulatory examinations. Tammy was also previously a registered representative and a branch office supervisor for a full service retail broker-dealer.  

Tammy earned a B.A. in Economics, a B.A. in Intenational Relations, and completed a Certificate Program in Paralegal Studies. She is also a Certified Anti-Money Laundering Specialist (CAMS).

 

When at play, Tammy enjoys travelling, skiing, "surfing" and discovering new hobbies.

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