LaShonda has over 16 years of experience in compliance and financial services. She started her career as an internal auditor at Wells Fargo, responsible for preparing financial statements and testing control efficiencies in the home mortgage division. Next, she accepted a role at the National Futures Association as an Examiner, where she led routine and enforcement examinations, analyzed financial data and reviewed disclosure documents for compliance. Subsequently, LaShonda transitioned to Northern Trust Investments, Inc., where she was Senior Consultant and Compliance Team Lead for Asset Management. She was responsible for the coordination of routine examinations conducted by the State of Illinois, SEC, NFA and Deloitte (custody exam), completed regulatory reporting, including Form ADV, Form PF, CPO-PQR, CTA-PR and 13H Reporting for Large Traders and consulted on business development strategies and risk management.
Before joining Waystone, LaShonda held a key leadership role as the Deputy Chief Compliance Officer for First Trust Advisors L.P. In this position, she not only oversaw the compliance monitoring and testing program but also routinely monitored for new and proposed regulations, performed due diligence reviews on service providers, reviewed quarterly reporting of sub-advisor controls and completed ADV, Form 13F and Forms 3, 4 and 5 filings.
LaShonda holds a Bachelor of Arts in Finance from Michigan State University and a Master of Science in Accountancy. She is also a Certified Fraud Examiner and holds the FINRA SIE and Series 3 licenses.
