Christa Graverson

Experience

• 

  National Futures Association

  Jun 2003 - Jan 2005

  Staff Auditor I and II

  • Determined testing parameters for compliance and financial audits• Performed quality reviews of internal investigations• Performed investigations related to commodity sales and trade practice disputes• Completed analysis of member firm financial statements• Actively communicated with investment firms and customers• Assisted in new employee training

• 

  Robert W. Baird & Co.

  Jan 2005 - Aug 2013

  • Developed training plan and annual compliance meeting presentations for 3,400 employees• Completed firm element needs analysis and maintained training program• Created new compliance policy manuals for employees and supervisors• Revamped field communication format and delivery process • Assessed and implemented compliance requirements for alternative investments • Assisted in the communication of compliance issues to Senior Management• Researched and problem-solved department and branch office issues• Consulted with other leaders to offer solutions for department and firm issues • Responded to regulatory inquiries from FINRA, the SEC and State Agencies • Performed branch office annual compliance visits • Conducted Financial Advisor recruit interviews

  • Manager - Compliance Policy & Communication

    Sept 2012 - Aug 2013

  • Senior Compliance Officer

    Jan 2010 - Sept 2012

  • Compliance Officer

    Jan 2005 - Jan 2010
• 

  Baird

  Aug 2014 - now

  • Led Compliance strategic planning process developing initiatives roadmap, assessing structure, capacity, people and technology alignment• Defined project plans, goals and performance measures for compliance and legal departments productivity, efficiency and effectiveness initiatives• Executed critical change management activities associated with strategic improvement efforts • Managed development and performance activities, setting and monitoring goals for a team focused on regulation, policy and compliance training• Led process for monitoring industry regulatory proposals, requirements and best practices assessing high level impact for an average of 350 items annually• Built policy maintenance protocol covering over 60 manuals and program documents

  • Chief Compliance Officer

    Jan 2022 - now

  • Deputy Chief Compliance Officer

    Nov 2020 - Jan 2022

  • Director of Compliance Process & Analytics

    Jan 2018 - Nov 2020

  • Strategic Change Manager

    Aug 2013 - Nov 2020

  • Director of Regulation & Policy

    Aug 2014 - Apr 2016