Sylvia A. McGaughey, IACCP
Sylvia A. McGaughey is a Compliance Consultant at Hardin Compliance Consulting LLC. She has over twenty-four years of experience in the industry, sixteen of which were spent in cash management, risk management, and regulatory compliance positions. Ms. McGaughey specializes in developing and testing compliance programs, evaluating internal controls, and drafting compliance policies and procedures. She holds the designation of Investment Adviser Certified Compliance Professional from National Regulatory Services, Inc. and is an ACAMS Certified Anti-Money Laundering Specialist.
Prior to joining Hardin Compliance Consulting LLC in June of 2013, Ms. McGaughey was a Senior Operations Analyst in the Investor Services Risk Management Department at Federated Investors, Inc. where she facilitated the broker dealer intermediary due diligence program, developed internal operational monitoring procedures, and represented the risk management department on various firm initiatives, including client conversions and the development as well as testing and implementations of transaction monitoring software. She also served as a manager in the Cash Management Services Division at Federated Investors, Inc. where she supervised the trading, operations, and relationship management of the broker-dealer cash sweep and the bank broker dealer clients.
Ms. McGaughey’s Series 6 license remained active during her employment at Federated. Ms. McGaughey obtained a bachelor of arts from the University of Pittsburgh in 1992.Back to Team Page