Compliance executive, operations leader, and process specialist, Susan DuMont has more than 25 years of leadership experience in the financial services industry, including the past 20 years in multiple senior management roles. As a Chief Compliance Officer, Administrative Partner, and Chief Financial Officer, Susan has demonstrated the expertise to navigate companies through a complex and constantly changing regulatory and technological environment.
As a compliance consultant and CEO of DuMont Consulting, Susan designs customized compliance programs to meet the needs of a diverse clientele, including small to mid-sized Broker Dealers, Registered Investment Advisers, and Privtae Equity Funds. She has established a reputation within the financial community as a compliance innovator, with a track record of minimizing reputational risk and regulatory scrutiny.
In 2000, Susan joined Gagnon Securities, a startup broker dealer, to spearhead the development of a comprehensive compliance foundation to facilitate the firm’s rapid growth. Wearing multiple executive hats, she simultaneously served as CCO, FINOP,CFO, General Principal, and Registered Options Principal.
With Gagnon, Susan protected the company’s assets and minimized their risk by instituting a broad spectrum of SEC and FINRA-compliant policies and procedures. This paved the way for the firm to grow their AUM substantially and triple their workforce. Her deftly written and implemented compliance program provided a consistent roadmap for all areas of the operation, from trading and money management through operations, software implementation, client services and administration.