Rochelle A. Truzzi
Rochelle A. Truzzi is a Managing Director at Hardin Compliance Consulting LLC. She has worked in the securities industry for over twenty-five years and has extensive broker-dealer and investment adviser regulations and compliance experience. Ms. Truzzi has been responsible for the coordination of new membership application for several broker-dealer firms as well as the management of the licensing and registrations of many firms and all associated persons. In addition, Ms. Truzzi has experience in the development of written supervisory procedures as well as anti-money laundering, business continuity, compliance, and continuing education programs tailored to firms’ specific needs.
Ms. Truzzi is a member of the Pittsburgh Chapter of the Financial Planning Association. Since 2019, she has consulted with the FPA’s Member Advocacy Committee (“MAC”) in the development and maintenance of the FPA’s Compliance Toolkit for the New CFP® Standards. In 2021, she was appointed to the FPA’s Public Policy Council (“PPC”). The PPC is a national committee that influences legislative and regulatory issues affecting CFP® Practitioners; and, makes public policy recommendations to the FPA Board of Directors.
Prior to joining Hardin Compliance Consulting LLC in September of 2006, Ms. Truzzi was a Securities Project Manager for The PNC Financial Services Group, Inc., where she served as the regulatory liaison to the SEC, FINRA and State Regulatory Agencies as well as coordinated all broker-dealer examinations for PNC. She assisted in the development and management of the control room for PNC’s broker-dealers, instituting a watch list and restricted listed while working closely with the department heads (originations) and research.
Ms. Truzzi holds Series 7 and 63 securities licenses (currently inactive). She received a Bachelor of Science in accounting from Grove City College in 1991.Back to Team Page