Ellen M. Bruno is the President of Compliance Advisor Professionals, LLC. Ellen is a Certified Public Accountant, Personal Financial Specialist, a Chartered Global Management Accountant and specialist in investment adviser compliance and registration issues. She has worked in the securities industry for over twenty-nine years and has a proven track record assisting financial services firms in the areas of compliance, risk management, back office operations, finance, and accounting. She is responsible for the strategic direction of Compliance Advisor Professionals including client service, marketing and business development.
Prior to founding Compliance Advisor Professionals, LLC, Ellen was the Chief Compliance Officer for a registered investment adviser and 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. One of her greatest strengths is her knowledge of the industry from various perspectives. Ellen applies her extensive knowledge for her clients’ benefit, working with them to develop pragmatic solutions that fit within the framework of regulations and business operations.
As a CPA, Ellen knows efficiently-run businesses are more profitable, and she is motivated by the desire to help clients be as efficient as possible. In addition to guiding clients with regard to compliance issues, she enjoys consulting with clients on broader business issues as well, including corporate structure, succession planning, distribution channels, and client service issues. Mindful of the human component in business success, Ellen enjoys networking with clients, as well as helping clients connect with each other.
Ellen holds a BS in Management/Accounting from the University of Massachusetts. She previously served on the Personal Financial Planning Executive Committee of the American Institute of Certified Public Accountants and was Chair of the related Task Force on Legislative and Regulatory Issues. She is also a member of the American Institute of Certified Public Accountants, the Massachusetts Society of Certified Public Accountants, and the National Society of Compliance Professionals, where she currently serves on the Education Committee. She is frequently invited to speak on securities industry compliance matters and investment adviser compliance regulations.
Ellen is a former member of the Berkley School Committee and the Bristol-Plymouth Regional Technical School Committee. When not working, she enjoys spending time with her husband and son.