Kerry Rider

Partner, ACA Group, Head of Wealth Management. 30+ years’ experience in securities compliance – specializing in Adviser’s Act regulation. Former broker/dealer and investment adviser Chief Compliance Officer – multiple firms, President/Owner of boutique compliance consulting firm for 19 years, public speaker, graduate of UCLA.

What makes you a Risky Woman?

I love compliance! I’ve spent my entire career coaching advisers on how compliance can and should be a constructive and positive tool, and not an impediment to conducting a profitable business. My goal is to make compliance as relatable as possible and demonstrate how compliance contributes to growth.

Name your top 3 achievements

1. Launching and running an independent compliance consulting practice for 19 years;
2. launching and leading ACA’s dedicated Wealth Management practice;
3. making compliance relatable and maintaining client relationships for multiple decades – contributing to clients’ growth and expansion.

What is the biggest risk you’ve taken in your career?

Leaving the large-firm corporate world and a Chief Compliance Officer position, to launch an independent boutique compliance consulting firm. And then leaving the independent boutique consulting world to rejoin the corporate world be integrating my practice into a large, national consultancy.

What’s something most people don’t know about you?

As a former competitive athlete, I am a fanatical sports fan.

What is the best quality for successful leaders in Risk?

Always have the business person’s mentality – how can you help a firm mitigate and manage risk while still supporting their business growth goals. Sometimes you need to see the gray.