Rochelle A. Truzzi
Senior Compliance Consultant
Rochelle A. Truzzi is a Senior Compliance Consultant 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.
Prior to joining Hardin Compliance Consulting LLC in September of 2006, Ms. Truzzi served as 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 developed and managed 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. She received a Bachelor of Science in accounting from Grove City College in 1991.Back to Team Page