A Who’s Who of the Wolters Kluwer Financial Services
Securities Compliance Team in the US

Anna Monteiro

Senior Director, Regulatory Solutions

As Senior Director, Regulatory Solutions, Anna Monteiro has dedicated herself to identify for client financial firms the tools and resources needed to maintain strong regulatory compliance programs. From evaluating current trends in securities compliance and regulation to applying new development strategies for securities compliance solutions, Ms. Monteiro brings an expert approach to management.
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Steve Taylor

Director of Regulatory Content Solutions, Securities Compliance

For more than a decade, Steve Taylor has helped financial organizations remain compliant by implementing technology that alleviates the burden of monitoring the latest regulatory changes. Since joining Wolters Kluwer Financial Services in 2008, he has been responsible for managing Wolters Kluwer Financial Services’ Compliance Resource Network, Banking Compliance Library and Policies and Procedures portfolio.
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David D. Thetford

Securities Compliance Principal Analyst

As the Securities Compliance Principal Analyst, David Thetford brings the financial service’s industry compliance manager’s point of view to Wolters Kluwer Financial Services.
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Carol Beckett

Product Manager, Examiner

Carol Beckett is responsible for the creation, management and implementation of the Examiner portfolio strategy. As a former compliance officer, she serves as the applications domain expert on personal securities surveillance and Code of Ethics procedures dictated by the Investment Advisers Act of 1940 (204a-1) and the Investment Company Act of 1940 (17j-1).
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Mark B. Foster

Director of Sales, Securities Compliance

Mr. Foster is the Director of Sales for Securities Solutions, Risk & Compliance at Wolters Kluwer Financial Services and is responsible for Securities Compliance and Taxation Solutions in North America.
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