Corrie Scoby has spent her entire 20-year career as a compliance professional and has had a wide array of compliance experiences. She holds 10 industry licenses, including the Municipal Securities Principal & Options Principal. Over her career, Ms. Scoby was trained by and reported to three former FINRA regulators and was the Chief Compliance Officer of a Registered Investment Adviser for over 8 years.

As Senior Director of the Compliance Department, Corrie has a large role in the day-to-day compliance of Arete Wealth. She manages the Annual Compliance Program, licensing and registration, disclosure review, regulatory reporting, the internal inspection program and is an integral part of regulatory examinations.

She has been the Compliance Registered Options Principal (“CROP”) of two firms while performing registration functions, performing advertising reviews, conducting annual branch exams, evaluating and revising written supervisory procedures, creating Annual Compliance Programs and developing desk procedures. Corrie has experienced over 7 regulatory audits, giving her the ability to communicate directly with regulators during FINRA, SEC and State examinations.

Corrie’s lengthy tenure as CCO of an Investment Advisory firm, the firm received zero customer complaints and passed every regulatory examination without a single substantive deficiency.  Aside from being the CCO of an independent RIA, Corrie was associated with Arete Wealth Management as the Supervisor of the Memphis OSJ branch, performing trade review, correspondence & advertising review as well as providing internal audit support.