Susan Dumont Reliable Compliance Expertise with Cost Effective Solutions


Susan DuMont

Reliable Compliance Expertise with Cost Effective Solutions

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.

In addition to Susan’s extensive broker dealer experience, she also functioned as Director, CFO, Compliance Officer, and Operations Manager for several startup hedge funds. She created a compliance, operational, accounting and administrative foundation that enabled all fund entities the opportunity to grow exponentially. She designed a new compliance program in accordance with the U.S. Investment Advisers Act of 1940, and instituted anti-money-laundering policies to comply with U.S. Patriot Act Requirements.

Susan began her career as a Trading Clerk and Junior Operations Manager with J. Gregory & Co. She advanced to the role of Operations Manager with Jansen-Meyers in 1994 and was hired by Dean Witter in 1996. Susan joined Gilder, Gagnon, Howe in 1997. With experience in all facets of financial services, Susan provides a unique perspective on compliance and is able to guide senior leaders on a path to profit growth while minimizing risk.

Susan holds numerous industry licenses (FINRA Series 7, 63, 14, 9, 10, 27, 24, 4, 87 and 55).

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