Before joining Promontory, she served as a branch chief and supervisory attorney in the Securities and Exchange Commission's Office of Compliance Inspections and Examinations, where she oversaw examinations of broker-dealers and investment advisers for compliance with SEC and Financial Industry Regulatory Authority rules and regulations. Laura led teams conducting analysis of firms’ processes and policies for regulatory compliance (through monitoring and testing of controls), conducted legal analysis of firms’ adherence to obligations, and conducted risk-targeted examinations to inform policy.
Laura worked on matters touching on many of the SEC's examination program's priorities, including trading and market-abuse surveillance, best execution, short selling, foreign-domiciled U.S.-registered broker-dealers, and anti-money-laundering compliance, among other high-profile issues.
During her tenure at the SEC, Laura was seconded to the U.K.'s Financial Conduct Authority, where she investigated potential rigging of foreign-exchange benchmarks, supervised U.K. affiliates of U.S. banks, and served as a liaison with the SEC.
Prior to joining the SEC, Laura spent several years in the private sector. She served as an associate at Bellows and Bellows in Chicago, where she represented a number of broker-dealers and registered representatives in regulatory matters involving the National Association of Securities Dealers. She gained firsthand experience of the financial industry while working for seven years at Merrill Lynch, Pierce Fenner & Smith Inc., and Howe Barnes Investments Inc.