Heather D. Augustine
Senior Compliance Consultant
Heather D. Augustine is a Senior Compliance Consultant at Hardin Compliance Consulting LLC. She has worked in the financial services industry for over twenty years and has a strong background in investment adviser and broker dealer regulatory compliance. She has management experience in several financial service business lines including asset management, bank broker-dealer, and dual registered broker-dealer/RIA firms. She counsels investment advisers on matters including securities regulations, SEC exams, supervisory system implementations and surveillance, compliance program development and evaluations, risk management and due diligence reviews.
Before joining Hardin Compliance Consulting LLC in June of 2015, Ms. Augustine was the Chief Compliance Officer for FTJ FundChoice, LLC, an SEC registered investment adviser. She was responsible for building and implementing the firm’s compliance and risk program. Before her position as a CCO, Ms. Augustine spent four years as Director of Compliance at Capital Analysts Incorporated (“CAI”) where she managed the investment-adviser compliance program. Her duties included maintaining the compliance manual, updating policies and procedures, updating Form ADV, performing testing and on-site audits, developing surveillance reports, marketing and advertising review, and licensing and registration. She also acted as the compliance subject-matter expert on firm-wide projects such as custodial and commission system conversions. She also served as Vice President and Compliance Manager at NatCity Investments, a subsidiary of National City Bank in Cleveland, Ohio.
Ms. Augustine’s Series 7, 24, and 66 licenses remained active during her employment at CAI. Ms. Augustine received a bachelor of arts from University of Cincinnati in 1993.Back to Team Page