Ann Buffie has over 30 years experience in the financial services industry. She served as Chief Compliance Officer for various life insurance and broker-dealer subsidiaries of American Express, and as Chief Compliance Officer of Capital Professional Advisors, a financial services delivery company serving large CPA firms. She also spent 12 years in the Trust Investment Department of a major Midwest regional bank. Ms. Buffie holds the NASD Series 24 Principal and Series 7 Registered Representative registrations, and is an Associate Member of the Association of Certified Fraud Examiners. She is a former IMSA Qualified Independent Assessor, and has worked on both self-assessments and independent assessments for insurance companies.
She is also a member of the Twin Cities Broker-Dealer Compliance Roundtable and the Twin Cities ’40 Acts Compliance Roundtable. She has been published in Bank Investment Marketing and interviewed by Best’s Review on the topic of annuity suitability. Her long-term, practical expertise in the areas of insurance company market conduct, investment adviser, broker-dealer, bank and trust company compliance brings integrated, business driven solutions to your compliance challenges.