Josephine LaFauci, Deputy Chief Compliance Officer
Ms. LaFauci is a Compliance Consultant for Performance Equity Management who has been consulting since 2020 and is currently a registered principal with her Series 7, 14, 24, and four other securities registrations. Prior to 2020, Ms. LaFauci was the Chief Compliance Officer for Gabelli & Company, Inc., Rye, NY for 15 years, after she was the first and only Chief Compliance Officer at Schwab SoundView Capital Markets, Greenwich, CT for 9 years. In her role as CCO for institutional broker-dealers, she designed effective compliance programs to cover the firm and its associated persons, including FINRA CRD registrations and Continuing Education; developed written policies and procedures; and created internal surveillance systems to ensure adequate review of firm business compliance with applicable regulatory requirements. Ms. LaFauci has functioned as the point person for FINRA, SEC, and state regulators, as well as managed regulatory exams, inquiries, and filings for over 25 years. Ms. LaFauci received a Bachelor of Arts from Queens College, City University of New York, and completed 3 years of finance education at the New York Institute of Finance.