Our Management Team

Our team of professionals is focused on excellent customer service and dedicated to helping you meet your compliance obligations in accordance with SEC and State regulations.

Ellen M. Bruno is the President of Compliance Advisor Professionals, LLC.  Ellen is a Certified Public Accountant and specialist in investment adviser compliance and registration issues.  She has worked in the securities industry for over twenty-three years, and has a proven track record in the areas of compliance, risk management, back office operations, finance, and accounting.

Ellen was the Chief Compliance Officer for a registered investment adviser where she also acted as a broker/dealer, the Secretary and Treasurer of an investment company trust, and she developed an internal compliance consulting program for a large financial services firm.  Ellen began her career at Price Waterhouse and has extensive experience with compliance issues, investment adviser registration, and investment adviser regulatory requirements.

Ellen holds a BS in Management / Accounting from the University of Massachusetts.  She currently serves on the Personal Financial Planning Executive Committee of the American Institute of Certified Public Accountants, and chairs the related Task Force on Legislative and Regulatory Issues.  She is also a member of the Massachusetts Society of Certified Public Accountants (MSCPA), and the National Society of Compliance Professionals.  She is frequently invited to speak on securities industry compliance matters and investment adviser compliance regulations.

Christine M. Cunningham is the Senior Vice President of Compliance Advisor Professionals, LLC.  Christy is primarily responsible for creating and maintaining client relationships, and is specifically focused on supporting clients with all their questions and requirements regarding investment adviser compliance, investment adviser registration and investment adviser obligations under SEC regulations.

Christy is responsible for the strategic direction of Compliance Adviser Professionals in the areas of client service, marketing, and business development.

Christy brings broad industry experience to our consulting team. She was the Global Product Marketing Manager for an international instant and digital imaging corporation, coordinating worldwide marketing activities for their Professional Imaging division.  She was also employed by a major Boston-based financial services company within their US Business Development Group.  There, she performed market research and prepared marketing materials for institutional clients.  She was also a key contributor to the firm’s Corporate Relations Program.

Christy holds an MBA in Marketing from the University of Massachusetts, and a BA in International Business from Concordia College. She currently serves on the Board of Directors for Fuller Arts and Sciences, Inc.