Executive Management Team
S. LAUREN HEYNE
Chief Compliance Officer
Seattle, WA
In 2007, Ms. Heyne joined RW Smith as an Executive Vice President and Chief Compliance
Officer, reporting directly to President and Chief Executive Officer Paige Pierce.
Most recently, Ms. Heyne served as Chief Compliance Officer and Senior Vice President for EK Riley Investments LLC, where she was responsible for the establishment, implementation and management of EK Riley’s compliance program. She worked closely with the company's business units and support areas to develop, maintain and integrate compliance processes and procedures across the organization. In addition to compliance oversight for the broker-dealer, Ms. Heyne was the company’s primary liaison for EK Riley's affiliated investment adviser and handled all regulatory matters for both firms.
Prior to joining EK Riley, Ms. Heyne ran compliance for Delafield Hambrecht, Inc., a firm that specialized in Investment Banking, Research, and Market Making. Ms. Heyne began her career in the investment industry as the Senior Compliance Officer for National Securities Corporation, helping to manage a department of seven at a national, self-clearing firm with both equity and fixed income trading desks.