Our Team
Our Team
Aaron Larson
Director, Compliance Services
Aaron Larson is a seasoned compliance professional in the Registered Investment Adviser (RIA) industry, known for guiding firms through the complexities of SEC regulations with clarity and precision. With broad experience spanning the full compliance spectrum, he strives to provide strategic oversight and guidance, helping streamline compliance processes, and strengthening firmwide regulatory readiness.
Aaron takes continuing education seriously and holds both a B.S. in Actuarial Science and an MBA from Carroll University, has passed the FINRA Series 7, 9/10, and 66 exams, and earned the Investment Adviser Certified Compliance Professional (IACCP®) designation.
Beyond his professional work, Aaron enjoys exploring the outdoors, attending various sporting events, pushing his physical fitness limits, and traveling to new destinations.
Abigail Mooney
Director, Compliance Services
Abigail Mooney (“Abby”) has worked in the financial services industry for over 25 years, with a focus on compliance for most of those years. As a Director at Key Bridge Compliance, Abby provides compliance consulting services and serves as an outsourced chief compliance officer. She is passionate about developing compliance programs for her clients using a risk-based approach that also considers business development objectives, recognizing that there isn’t a “one size fits all” approach.
In addition to her background in consulting, Abby worked in-house for two registered investment advisers, serving as a compliance director for an RIA subsidiary of PNC Bank, and as CCO of an investment manager with over $6.0 billion in AUM.
Abby earned a BA in Economics from Boston University and an MA in Applied Physiology from Columbia University. She also passed the FINRA Series 65 examination. She currently resides in Pittsburgh, Pennsylvania with her husband, their two children, a dog, and two cats.
- ahanavan@kbc.team
- (859) 320-7468
- 36 W Pike St
Covington, KY 41011
Alex Hanavan
Marketing Specialist
Alex Hanavan serves as a Marketing Specialist at Key Bridge Compliance, bringing over a decade of experience in digital marketing, CRM management, and content strategy. Before joining KBC, Alex worked in Marketing and Client Engagement at TrinSoft, a Microsoft Solutions Partner, where he led overall marketing strategy, managed prospect and client databases, and oversaw a full company rebrand.
Prior to that, he spent nearly a decade at Eastern Kentucky University in Alumni Engagement, most recently as Assistant Director of Engagement and Communication, where he managed CRM systems, executed multi-channel campaigns, and oversaw digital content across web, email, and social platforms.
Alex holds an MBA with a concentration in Integrated Communications and a Bachelor of Science in Computer Science, both from Eastern Kentucky University. Outside of work, Alex enjoys video games, fitness, and exploring new restaurants around the Cincinnati area.
- amathis@kbc.team
- 513-229-4624
- 36 W Pike St
Covington, KY 41011
Amy Mathis
Director of Finance and Administration
Amy joins Key Bridge with a long history of supporting financial advisors in an administrative role. Amy spent 10 years with The Huntington Investment Company and has experience working with individually owned wealth management firms, during this time she obtained her life and health license as well as the series 6 and 7 licenses. She is currently working towards a bachelor’s degree in business administration with a focus in finance from Liberty University. Amy lives in Cincinnati with her husband and son, along with their German shepherd.
Anisha Varatharajah
Consultant, Marketing
Annie Varatharajah has served as a Marketing Consultant at Key Bridge Compliance, LLC since February 2023. In her role, she assists clients with their marketing compliance needs, guiding them through the new marketing regulations that were established in November 2022. Annie enjoys engaging with her clients, reviewing the variety of material, and helping them navigate their marketing strategies compliantly.
Annie has a BSW from Ohio State and an MSW from University of Washington. Annie lives in Columbus, OH and in her free time, she swims with a Masters team, is a member and volunteers with an org called OPAWL, reads, and spends time with her partner.
Blake Hylton
Senior Consultant, Compliance Services
Blake Hylton serves as a Senior Consultant for Key Bridge Compliance. Blake has worked in the financial services industry since 2019, most recently spending more than four years with FINRA, where he served as a Senior Examiner leading risk-based examination teams on broker-dealer examinations. Prior to FINRA, Blake worked as an Associate at Promontory Financial Group, an IBM Company, conducting internal compliance reviews for financial institutions and structuring anti-money laundering and operational risk practices, including work focused on blockchain technology. He leverages his examination background when working with clients to navigate complex regulatory issues.
Blake earned his J.D. from Howard University School of Law and his B.A. in Political Science from the University of South Florida. Outside of work, Blake is passionate about mentorship and has volunteered with the Young Gents Program for over a decade, guiding high school students as they navigate important life decisions. He is based in the Miami-Fort Lauderdale area.
- bpohl@kbc.team
- (859) 308-3297
Brett Pohl
Sr. Director, Compliance Services
Brett has worked in the financial services industry for over 25 years, with a focus on compliance for more than 20 of those years. For 13 years prior to joining Key Bridge, Brett was the Chief Compliance Officer for a multi-national firm and was responsible for registering the firm with the Securities and Exchange Commission as well as developing, implementing and maintaining the compliance program. Brett has also had varying compliance roles for Batterymarch Financial Management and Fidelity Investments.
Brett, his wife and two children live on the South Shore in Massachusetts.
- bdechow@kbc.team
- (859) 309-8433
- 36 West Pike St.
Covington, KY 41011
Brian Dechow
Associate Director, Compliance Services
Brian Dechow is an Associate Director at Key Bridge Compliance. He previously served as a Compliance Intern at Key Bridge prior to joining the firm full time after graduation as a Compliance Analyst. Brian graduated Summa Cum Laude from Xavier University earning a Bachelor of Science in Business Administration with a major in Finance and a minor in History. While at Xavier, Brian served as Chief Compliance Officer and Energy/Utilities Manager of the D’artagnan Capital Fund, a student-run, actively-managed fund. Brian is originally from Indianapolis, Indiana and now lives in Covington, Kentucky.
- bpetraitis@kbc.team
- (859) 600-1497
- Chicago, IL
Brian Petraitis
Director, Compliance Services
Brian Petraitis serves as a Director for Key Bridge Compliance. Brian has worked in the financial services industry since 2006, beginning his career in compliance as an examiner with the NASD(FINRA) on the Broker Dealer examination staff, then continued on to the Securities and Exchange Commission as an examiner for OCIE, examining Investment Advisors and Investment Companies, an experience that he leverages when working with his clients. Prior to joining Key Bridge Compliance, Brian worked as Chief Compliance Officer for a dually registered Broker Dealer and Investment Advisor. He works with firms of all sizes to assist them in establishing institutional compliance practices and navigating complex regulatory issues. Brian earned his B.S. In Accounting from Iowa State University, Brian held his Series 7, and 24. When he is not working, Brian enjoys his time with his 4 children, dog and restoring his car.
- cpayne@kbc.team
- (513) 399-8091
- 36 W Pike St.
Covington, KY 41011
Chris Payne
Chief Operating Officer
Chris Payne serves as Chief Compliance Officer and Chief Operating Officer for Key Bridge Compliance. Chris has worked in the financial services industry since 2005, beginning in Operations and Trading, an experience that he leverages when working with his clients. Prior to joining Key Bridge Compliance, Chris worked for Graydon Compliance Solutions as Chief Compliance Officer and served as Compliance Officer for Matson Money, Inc. and Ameritas Investment Corp. He works with firms of all sizes to assist them in establishing institutional compliance practices and navigating complex regulatory issues.
Chris earned his J.D. from the Salmon P. Chase College of Law at Northern Kentucky University, and his B.S. in Finance from Miami University of Ohio. Including being licensed to practice law in the state of Ohio, Chris earned the Investment Adviser Certified Compliance Professional (IACCP) designation co-sponsored by the Investment Adviser Association and National Regulatory Services. He also passed the Series 7, 24, 53, 63, and 66 examinations, as well as the Chartered Financial Analyst Level 1 examination.
When he is not working, Chris enjoys reading, traveling, and relaxing with his family. Chris also currently serves on the Southwest Local School District Board of Education.
Christine Heroux Hendrix
Director, Compliance Services
Christine serves as a Director for Key Bridge Compliance. Christine has worked in the financial services industry for over 15 years and is passionate about building strong relationships with her clients. After spending over a decade with Ameriprise Financial Services, serving in many different capacities, Christine left the Broker-Dealer world for a Senior Compliance Consultant role focusing on SEC registrant compliance with AdvisorAssist. Christine earned a Master’s in Business Ethics and Compliance from the New England College of Business and Finance which was the catalyst that transitioned her focus to compliance.
Christine is also a co-founder/co-owner of a non-profit women’s sober home south of Boston, Massachusetts. Christine is passionate about supporting women on their journey to recovery to sobriety. Traveling the world, spending time with friends and family are also important to Christine as well as her two loving beagle mix rescues, Fiji and Cartel.
- dmason@kbc.team
- (202) 753-7141
- 36 W Pike St.
Covington, KY 41011
Dennis Mason
Director, Compliance Services
Dennis Mason serves as a Director for Key Bridge Compliance. Dennis has worked in the financial services industry for over 25 years. Over the course of his career, Dennis served in roles relating to bank trust operations as well as financial reporting, treasury, tax and compliance for registered investment companies. Prior to joining Key Bridge Compliance in April of 2021, Dennis served as Fund Compliance Officer at Apex Fund Services and Atlantic Fund Services where he worked to ensure the effective administration of fund service provider compliance programs and to build strong, personal relationships with clients. He also served as Chief Compliance Officer of several mutual fund series trusts including Forum Funds.
Dennis earned a B.A. in Mathematics from the University of Southern Maine. Dennis earned the Investment Adviser Certified Compliance Professional (IACCP ®)designation co-sponsored by the Investment Adviser Association and National Regulatory Services.
- dtatum@kbc.team
- (513) 538-1150
- 36 W. Pike St.
Covington KY, 41011
Desaree Tatum
Consultant, Compliance Services
Desaree is a Consultant at Key Bridge Compliance, bringing over 20 years of experience in the financial services industry. She holds a Bachelor of Science Degree in Business Marketing from Wilberforce University and a Master of Business Administration from Xavier University.
Desaree’s career began at Fidelity Investments, where she earned the Series 7 and 63 licensures as a Securities Trader. She later transitioned to the insurance field, obtaining a Life and Health license and working as an employee benefits consultant. Returning to investments, she gained the Series 26 certification and served as a Brokerage Operations Specialist at O.N. Equity Sales Company for eight years.
With a well-rounded background spanning banking, insurance, and investments, Desaree possesses comprehensive expertise in financial services. Her primary focus lies in ensuring regulatory compliance, collaborating with Financial Advisors and the compliance team to handle documentation for new accounts and asset movement requests. Outside of her professional pursuits, Desaree enjoys exploring new culinary experiences, traveling, and cheering her two teenage sons.
Hannah Ward
Client Services Associate
Hannah Ward is a Client Service Associate at Key Bridge Compliance. She is a recent graduate of Mount St. Mary’s University and played on The Mount’s Division 1 tennis team. Graduating with a Bachlor of Science in Business, she has built a strong foundation to support our business and client services. She works closely with our Director of Client Services to support our process and strengthen Hannah’s experience within the industry. Hannah currently resides in Covington.
Holly Caulder
Director of Operations
Since 2023, Holly has served as Key Bridge Compliance’s Director of Operations, partnering with executive leadership to transform vision into strategy and scalable execution. She has played a pivotal role in building the operational infrastructure that supports the firm’s growth, developing and implementing strategic planning, Board and executive governance procedures, technology enhancements, and cross-functional initiatives that strengthen business processes across the organization.
Known for her collaborative leadership style, Holly excels at bringing clarity to complex challenges, aligning stakeholders around shared goals, and designing practical solutions that drive long-term impact.
Prior to joining Key Bridge Compliance, Holly built a diverse career across higher education, nonprofit, and private-sector organizations, developing expertise in administration, operations, strategic planning, mass communications, and development. She brings a future-focused mindset and a passion for translating ambitious ideas into intentional, actionable strategies that empower others to succeed.
Holly holds her Master of Business Administration in Strategic Management and Policy and received her B.A.s in Strategic Communications and Political Science with a minor in Business. She enjoys spending time with her husband hiking in the mountains, baking on the weekends and doing yoga.
- jcalvert@kbc.team
- (859) 287-1657
- 36 W Pike St.
Covington, KY 41011
Jared Calvert
Sr. Director, Compliance Services
Jared Calvert serves as a Senior Director at Key Bridge Compliance, LLC. Prior to coming to Key Bridge, Jared served Bartlett Wealth Management, an RIA with over $8 billion of AUM, as Compliance Associate, Compliance Officer, and Chief Compliance Officer over a 15-year span. Jared earned a B.S. from the University of Findlay. When he isn’t working, Jared enjoys bike riding, spending time with his family, and is a hobby bladesmith. Jared resides in Northern Kentucky with his wife, Christina, and their three children.
- jwesolowski@kbc.team
- (859) 402-1460
Jenn Wesolowski
Consultant, Compliance Services
Jennifer Wesolowski is a Compliance Consultant at Key Bridge Compliance LLC. She has over 12 years of experience in the financial services industry, including her time at COMPLY, where she served as a Client Services Analyst and Senior Regulatory Associate. She specialized in regulatory filings, including Form ADV, Form CRS, U4/U5, and EDGAR-related filings such as Forms D, 13H, and N-PX.
In her spare time, Jennifer loves traveling, cooking, trying new restaurants and listening to true crime podcasts.
Jennifer resides on Long Island, New York with her husband Matt, daughters, Sophia & Olivia, and Labrador, Greyson.
- jmiller@kbc.team
- (513) 999-2936
Jodi Miller
Consultant, Compliance Services
Jodi Miller is a Compliance Consultant at Key Bridge Compliance LLC.
- kwilliams@kbc.team
- (202) 753-6940
Kaleb Williams
Consultant, Compliance Services
Kaleb is a Consultant in the Compliance Services division at Key Bridge, and has vast experience in both RIA and private fund compliance management. He has worked at various compliance consulting firms supporting RIA program development, regulatory reporting, and marketing review. Prior to various consulting roles, Kaleb served as a Senior Compliance Associate at The Colony Group (now Focus Partners Wealth) where he led marketing review and trade surveillance while also supporting the firm’s compliance program. He began his compliance career at ACA Compliance Group as an Analyst. He graduated from Waynesburg University with a BA in Psychology, Rasmussen University with a Paralegal Certificate and an MA in Communication from Liberty University. He currently lives in Pittsburgh, PA with his wife Kelsey, daughter Audrey, and basset hound Penny.
- kmitts@kbc.team
- (513) 562-1669
- 36 W Pike St.
Covington, KY 41011
Kaley Mitts
Director of Client Service
Kaley serves as the Director of Client Service for Key Bridge Compliance. In this role, Kaley makes sure clients are receiving the highest quality service from our service teams. Kaley originally joined us from Graydon Compliance Solutions, LLC as a Compliance Officer and she uses her compliance and operations background to understand the needs of our clients. Kaley has previously spent time in various operations and investment-related roles with Broker-dealers and RIAs. Prior to joining Graydon Compliance Solutions, Kaley worked supporting Financial Advisors at several different Broker-Dealers and Registered Investment Advisers, including Fidelity, TIAA-Cref and RW Baird, where she obtained the series 7, 63, & 66 licenses. In her various roles, Kaley oversaw the client/advisor relationship, managing operations, trading and client communications. After joining Graydon Compliance Solutions in 2018, Kaley has been working with investment advisors compliance programs, primarily responsible for the day-to-day operations of clients compliance programs. Kaley graduated from the University of Kentucky in 2011 with a Bachelor of Science Degree in Business Marketing. Kaley resides in Northern Kentucky with her husband, Kevin, along with their two young sons and golden retriever.
- kpence@kbc.team
- (859) 308-3517
- 36 W. Pike Street Covington, KY 41011
Kate Pence
Talent Ops & Business Specialist
Kate Pence is the Talent Ops & Business Specialist at Key Bridge Compliance. Kate is proficient in handling a wide range of administrative tasks, from managing schedules and coordinating meetings to overseeing office supplies and maintaining records. Her communication skills, both written and verbal, ensure clear and effective communication with team members and clients.
Kate strives to foster a positive and collaborative work environment, building strong working relationships with colleagues, promoting teamwork, and contributing to an inclusive workplace culture.
Kate graduated from the University of Cincinnati with a Bachelor of Arts in Communication, minor in Marketing, and certificate in Public Relations. She previously worked for Northwestern Mutual, where she managed the Network Office of 200 employees while assisting the Chief Operating Officer and Managing Partner. Kate currently resides in Covington.
- knakwa@kbc.team
- (513) 278-3639
- 36 W Pike St.
Covington, KY 41011
Keisha Nakwa
Director of Talent and Culture
Keisha Nakwa brings over 12 years of comprehensive human resources expertise to her role as Director of Talent and Culture at Key Bridge Compliance. Her career spans diverse industries, including IT Consulting, Engineering, Finance, and Compliance, providing her with an understanding of the unique challenges and opportunities each sector presents.
As a strategic HR leader, Keisha derives satisfaction from aligning people and strategies with business objectives. Her passion lies in guiding companies towards optimal performance through the implementation of robust performance management, talent management, and customized people strategies. Keisha is adept at cultivating and nurturing workplace cultures that foster engagement, innovation, and sustained success.
Keisha holds a Bachelor of Arts degree from Xavier University, where she studied English. As a certified professional with the Society for Human Resource Management (SHRM), Keisha demonstrates a commitment to staying at the forefront of HR best practices and industry trends. She is not only dedicated to advancing the strategic goals of Key Bridge Compliance but also to contributing to the professional growth and development of the broader HR community.
Keisha resides in Cincinnati and is located in our Covington, KY office.
- kmeans@kbc.team
- 36 W Pike St.
Covington KY 41011
Kendra Means
Consultant, Compliance Services
Kendra joins Key Bridge with a deep-rooted history of supporting financial advisors and all facets of their client’s service needs. With over 9 years’ experience in the financial services industry, she has worked for firms with over $425M and $9B in assets under management, respectively. Kendra is well versed in handling high net worth clients including complex confidentiality and servicing. She worked directly with a variety of investment advisors in managing their client’s money, maintained accounts in an organized manner, kept thorough books and records, and collaborated with third-party compliance firms.
Kendra has partnered with CPA’s, legal counsel and other financial professionals for regulatory reporting. Further, Kendra has comprehensive experience with restricted securities that required working with legal counsel, transfer agents and directly with the client. She enjoys spending time with family and friends especially summer days at Lake Cumberland.
- kprieur@kbc.team
- (810) 775-1901
Kristin Prieur
Sr. Director, Compliance Services
Kristin Prieur is a Senior Director of Compliance Services with Key Bridge Compliance. Kristin began her journey in financial services in 2000, starting in operations and quickly became involved in many aspects of the business, including trading, portfolio management, and financial planning. Eventually, she worked her way into management and compliance, where she served as CCO of an Independent SEC-Registered RIA. She found her true niche to be in the regulatory realm and shifted her career to consulting. Kristin is passionate about helping clients set their firms up for success by aligning their business practices with ever-changing rules and regulations.
Kristin holds the IACCP® (Investment Advisor Certified Compliance Professional), CRPC® (Chartered Retirement Planning Counselor), and AAMS® (Accredited Asset Management Specialist) designations and has passed the FINRA Series 66 and 7 examinations. She earned her BA from the University of Michigan-Flint and is currently attending Oakland University’s Financial Planning (CFP®) program. Outside of Key Bridge, Kristin is an advocate for social justice and women’s empowerment. She serves on the Board of Directors for several organizations supporting these causes, including the YWCA Greater Flint and Flint Women’s Forum. Kristin is also a Registered Yoga Teacher with Yoga Alliance and enjoys spreading her love of ashtanga and vinyasa with her students in her spare time.
- lhein@kbc.team
- (469) 755-6010
- Dallas, TX
Lauren Hein
Director of Advisor Relations & Distribution
Lauren Hein is the Head of Advisor Relations and Distribution at Key Bridge Compliance. She brings over a decade of asset management distribution experience to the firm. Most recently she served as the Head of Advisor Relations and Director of Sales for ROBO Global, an index and advisory firm providing financial professionals with ways to invest in innovative, disruptive technologies. She has previously worked for State Street Global Advisors, First Trust Portfolios, and Global X ETFs and has worked with advisors and firms across the spectrum of the US financial services landscape.
Lauren graduated from Wheaton College where she received her BA in Economics. She holds FINRA licenses series 7 and 66. A native of Ohio, Lauren currently resides in Dallas, TX, and serves as the President of the Junior Board for the Dallas Symphony.
- llove@kbc.team
- (202) 750-9093
Lejeana Love
Director, Compliance Services
Lejeana is a Director with Key Bridge Compliance and has been servicing the financial industry since 2010. Lejeana received her introduction to compliance, legal, and risk with LPL Financial and ultimately, decided to establish her own registered investment advisory firm in 2021. Lejeana comes with an extensive amount of expertise surrounding operations, trading, investment management, financial planning, and compliance.
Lejeana recently received her Juris Master in Financial Regulation and Compliance from Florida State University, College of Law and holds the following FINRA licenses Series 7, 63, 65, and 66. Lejeana also holds the Investment Adviser Certified Compliance Professional® (IACCP®) designation, exhibiting a mastery in investment advising regulatory compliance. While Lejeana is not pursing all things compliance, she enjoys spending time with her husband Leonard, their two daughters, Lyla and Lexi, and Aubrey, their 6lb Yorkipoo.
- lchalfant@kbc.team
- (513) 230-2730
- 36 W Pike St.
Covington, KY 41011
Luke Chalfant
Senior Consultant, Compliance Services
Luke Chalfant is a Senior Consultant at Key Bridge Compliance, LLC and has been a pillar that many other colleagues and clients can rely on. He has extensive knowledge within the compliance field, a knack for communication, and is constantly looking for new ways to improve various regulatory filing processes within the firm. Further, Luke founded the Key Bridge Compliance Book Club, where every month a new book is decided upon and then later discussed in depth.
Luke graduated from the University of Cincinnati College of Law after earning a B.S. in Marketing and Analytics from the Lindner College of Business. When not studying the legal and financial industries to further improve his compliance skills, Luke enjoys skiing in the winters, rock climbing in the summers, and playing board games all year round.
Matt Giggey
Sr. Director, Compliance Services
Matt has twenty years of experience within the financial industry. He began his career in mutual fund operations at a large investment manager in Boston, where he quickly developed an interest in regulatory compliance. Matt’s natural curiosity and dedication to his work led him to take on increasingly challenging compliance roles, most recently as an Investment Advisor Consultant at ACA Global. Matt received his Bachelor’s in Business Administration from Merrimack College and currently lives in the Portland, ME with his fiancé and two daughters.
- mswendiman@kbc.team
- (859) 468-7044
- 36 W Pike St.
Covington, KY 41011
Matthew A. Swendiman
Chief Executive Officer and President
Matt began his investment management career in 1996, starting in the as a transfer agent of BISYS (now Citi) Fund Services. Thereafter, he served as counsel to multiple institutional investment management firms, then as an investment management associate in the Washington, DC office of K&L Gates, an international law firm.
In 2006, Matt joined Fifth Third Bank in Cincinnati, OH, where he served as the Chief Administrative Officer for Fifth Third’s institutional investment management business and Secretary and Chief Legal Officer to the Fifth Third Funds, a mutual fund trust with twenty-four series. Additionally, he provided legal support to Fifth Third’s broker-dealer, insurance, and custody operations. While at Fifth Third, Matt earned his CFA charter.
Following a stint as COO to a $500 million Cincinnati-based RIA, Matt founded Graydon Compliance Solutions (GCS), LLC, an outsourced compliance consultancy offering services to RIAs across the United States and in the United Kingdom. Matt is now the Chief Executive Officer of Key Bridge Compliance, LLC (the successor to GCS).
Matt has earned his BA in Political Science, as well as his JD, from The Ohio State University. He has also earned his LLM in Insurance Law from the University of Connecticut.
Matt is proud to serve on the President Advisory’s Council (PAC) at Xavier University, as well as on the Investment, Audit, and Finance Committees for St. Elizabeth Healthcare, and is Chair of the Samaritan Committee for St. Elizabeth Foundation. Matt and his wife Jen live in Park Hills, KY, and they are proud parents to three children.
- mshunnarah@kbc.team
- (859) 739-3187
Michael Shunnarah
Advertising Review Sr. Analyst
Michael Shunnarah serves as an Advertising Review Sr. Analyst. Michael earned his JD from the University of Louisville Brandeis School of Law after receiving his B.A. in Political Science from the University of Kentucky. Prior to joining Key Bridge, Michael worked as a law clerk for several firms where he gained experience in legal research, writing, and client counseling. During his spare time, Michael enjoys playing pickleball and sand volleyball, as well as visiting local coffee shops, breweries, and brunch spots.
- ngoff@kbc.team
- (513) 562-1672
- 36 W Pike St.
Covington, KY 41011
Nicole Goff
Compliance Ops, Sr. Consultant
Nicole Goff serves as a Senior Consultant at Key Bridge Compliance. Nicole has worked in various banking roles, though her passion is auditing, which she loves due to its ever-evolving nature. Most recently, Nicole served as a Senior Securities Analyst at Fifth Third Bank where she led her settlement analyst team. The role involved working closely with portfolio managers, identifying trade discrepancies, and mitigating the risks related to the trade life cycle.
Nicole graduated from Wilmington College with a Bachelor’s of Science in Business Management. She is currently working towards earning her M.B.A. Nicole lives in Cincinnati with her husband and three children.
- rdiaz@kbc.team
- (859) 309-8228
- 36 W Pike St.
Covington, KY 41011
Rodrigo Diaz
Compliance Analyst
Rodrigo Diaz is a Compliance Analyst at Key Bridge Compliance. Rodrigo is a recent graduate from the University of Cincinnati where he majored in Finance. Rodrigo is passionate about creating new experiences and expanding his skillsets. He is eager to broaden his knowledge of financial services, focusing on Compliance. Rodrigo was born in Honduras and has experience working with several departments at the University, as well as his working internships at Key Bridge Compliance. He also played tennis throughout high school and achieved the #1 ranking in Honduras.
Ryan Westerbeck
Consultant, Compliance Services
Ryan Westerbeck is a Consultant at Key Bridge Compliance, LLC. Previously, Ryan worked as a Senior Compliance Analyst at ACA, where he worked primarily on Code of Ethics administration. Ryan is a graduate of the University of Dayton and the University of Cincinnati where is received a Bachelors and Masters degree in History. Ryan has passes the SIE and lives in Cincinnati, OH.
- sadams@kbc.team
- (859) 317-5499
Sadie Adams
Senior Consultant, Compliance Services
Sadie Adams is a Senior Consultant at Key Bridge Compliance, LLC. She began her compliance career 13 years ago at large financial services company as a Teller Coordinator before transitioning to an SEC-registered RIA, where she helped strengthen the firm’s compliance program through the development of policies and procedures, testing, risk assessments, and annual reviews. Sadie joins KBC from the Regulatory Operations department of a leading compliance technology firm, where she specialized in maintaining and updating firm regulatory documents, including Form ADV Parts 1, 2A, Appendix 1, 2B, ADV-W, Form CRS, and Form U4/U5. She is also experienced with EDGAR Next and the related filings such as Form D, Form 13H, and Form N-PX. Sadie holds the Investment Adviser Certified Compliance Professional® (IACCP®) designation, exhibiting a mastery in investment advising regulatory compliance.
Outside of work, Sadie enjoys spending time with her husband, Zach, and their daughter, Blake. Most weekends, she can be found cheering on her daughter’s soccer games or volunteering as her Girl Scout troop leader. She loves to read and taking walks with her Newfoundland dog, Sherman.
- sfleming@kbc.team
- Washington, DC
Stacy Fleming
Sr. Director, Compliance Services
Stacy Fleming is a Senior Director at Key Bridge Compliance, bringing 15 years of industry experience and a passion for integrating risk-based compliance into business-focused programs. Stacy provides advice that is strategic and works with clients to develop comprehensive compliance programs that reflect regulatory requirements and industry best practices.
She began her career at Goldman Sachs in Private Wealth Operations and prior to KBC was a Senior Vice President at Kroll advising Private Fund managers. She has worked at ACA Group as a Principal Consultant for Wealth and Hedge Fund managers and served as in-house Compliance Officer at Edelman Financial Engines and CAPTRUST.
Stacy graduated from Manhattan College with a Bachelor of Science in economics and business administration. She is an avid yogi, enjoys traveling and spending time with her husband and 3 children.
Susan Stevenson
Board Member
Susan Stevenson has been a member of Key Bridge Compliance’s Board of Directors since 2023 and has led the Firm’s strategic planning efforts since 2022. Susan brings thirty years of experience in both the business and non-profit sectors, leading entrepreneurial, fast-growing organizations and working as a strategy consultant for McKinsey and Company. Susan received her BA in Political Science and Spanish from Indiana University and an MBA from Stanford’s Graduate School of Business.
She was the 2016 recipient of the Jocelyn Graves National Award for Distinguished Service to Public Education. Susan served on the international board of directors of AMIGOS, on the AMIGOS Foundation board, and as President for the Weatherspoon Trust board. She has been a member of Leadership Greater Washington since 2015 and was a member of the Washington, D.C. Federal City Council from 2019 – 2021. Susan resides in both Washington, D.C. and Whitefish, Montana.
- smcgaughey@kbc.team
- (859) 203-4734
Sylvia McGaughey
Consultant, Compliance Services
Sylvia McGaughey brings over 30 years of experience in the financial services industry to her role at Key Bridge Compliance. She began her career in Pittsburgh, Pennsylvania, where she held positions in client services, operations, and risk management at a large investment management firm. Over time, Sylvia developed a strong specialization in the operational and regulatory aspects of the business, leading her to transition into consulting roles supporting Registered Investment Advisors.
Prior to joining Key Bridge, Sylvia focused on compliance program testing and regulatory filings, further strengthening her expertise in helping firms navigate complex regulatory requirements.
Sylvia holds a Bachelor of Arts in Communications from the University of Pittsburgh. She currently resides in Pittsburgh with her husband and their pets. Outside of work, she enjoys spending time with her grown daughters, attending local sporting events, and volunteering with organizations such as the Girl Scouts of America and the American Cancer Society.
- tlocke@kbc.team
- (513) 399-8090
Tamie Locke
Consultant, Marketing
- tolvera@kbc.team
- (859) 600-1434
Tanya Olvera
Senior Director, Compliance Services
Tanya serves as a Senior Director with over a decade of experience in financial services. She has extensive experience in leading compliance programs for established SEC registered investment advisers and building compliance programs for new registrants. Her previous experience includes working as an in-house Chief Compliance Officer for two SEC registered RIAs and working on the advisory compliance team with Raymond James Financial.
Tanya earned her Bachelor of Science in Accounting from Purdue University Global and has passed the FINRA series 7, 66 and 24 exams. She also spent 8 years enlisted in the US Army Reserves as Military Police. When she is not working Tanya enjoys traveling and spending time with her kids.
- tgray@kbc.team
- (859) 309-8579
- 36 W Pike St.
Covington, KY 41011
Terence Gray
Consultant, Compliance Services
Terence Gray is a Consultant for Key Bridge Compliance. Terence has worked in the financial services industry for over 15 years and has served in roles as a Contracting, Licensing, & Registration Specialist, Compliance Analyst, and Compliance Associate for various Broker/ dealers, Registered Investment Adviser Firms, and Life & Annuity Insurance Companies.
Most recently, Terence role as a Compliance Associate involved working with Registered Investment Advisers to conduct due diligence over Adviser Onboarding & Licensing, Form U4, U5 filings, and ADV Part 1 and 2B reviews and amendments. Terence’s responsibilities also extended to Annual Branch Audits, Email, Marketing, and Social Media Reviews. Terence is a Graduate of Cincinnati State College and Xavier University in Cincinnati, OH.
Thomas Kerney
Director, Compliance Services
Thomas Kerney is a Director for Key Bridge Compliance with over 17 years of experience in the financial services industry. Before joining Key Bridge, he served as a leader of a turnkey asset management platform. Previously, Thomas was the President, CCO, and CFO (FINOP) of Hanover Securities, a full-service investment bank focused on capital markets for small and medium-sized businesses. In this role, he managed the broker-dealer’s regulatory relationships, supervision, due diligence, and partnerships. Thomas also launched a consulting practice that worked with asset managers on corporate strategy, mergers & acquisitions, operations, risk management, and regulatory compliance.
Thomas has the FINRA Series 4, 7, 24, 27, 53, 57, 65, 66, 79, 99, and SIE. He is an Enrolled Agent (EA) admitted to practice before the Internal Revenue Service and a licensed real estate managing broker. He has obtained the Investment Adviser Certified Compliance Professional (IACCP®) and Certified Investment Management Analyst® (CIMA®) designations. Thomas earned his Master of Business Administration from The University of Chicago Booth School of Business and a Bachelor of Science in Small Business Administration from Northern Arizona University.
Tracy Murray
Consultant, Compliance Services
Tracy Murray is a Consultant, Compliance Services with Key Bridge Compliance. Tracy began her career in financial services in 2004, starting as a compliance assistant and after earning her FINRA Series 7 was promoted to Assistant Brach Compliance Officer. She has served in Broker-Dealers and Registered Investment Advisors ensuring that the compliance functions of the firms were being carried out according to firm and regulatory requirements. Most recently Tracy served as a Compliance Consultant for an East Coast Boutique firm. Tracy is passionate about developing and maintaining trusted client relationships while helping them align their business practices with the ever-evolving regulatory landscape
Tracy holds the IACCP© (Investment Advisor Certified Compliance Professional), and the ALMI designations and has passed the FINRA Series 7, 66, 24, 53, and 4 examinations. She earned a Bachelor of Science from Bemidji State University. Tracy lives in Minnesota with her family and enjoys time at the family cabin, traveling and attending live music events.
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