LaShonda has more than 18 years of experience in compliance and financial services.
She currently serves as an Executive Director at Waystone, where she provides compliance advisory services to investment advisers, private funds, and commodity market participants. She specializes in SEC, CFTC, and NFA regulatory frameworks, with a focus on building compliance programs, supporting regulatory examinations, and advising on business and product development initiatives.
LaShonda began her career as an internal auditor at Wells Fargo within the home mortgage division. She later joined the National Futures Association (“NFA”) as an Examiner, leading routine and enforcement examinations, analyzing financial and operational data, and assessing disclosure documents for regulatory compliance.
She then transitioned to Northern Trust Investments, Inc., where she served as a Senior Consultant and Compliance Team Lead supporting the Asset Management business. Further, She served as Deputy Chief Compliance Officer at First Trust Advisors L.P., a global asset manager. In this capacity, she oversaw the firm’s compliance monitoring and testing program, led regulatory change management efforts, conducted service provider due diligence, reviewed sub-adviser control environments, and managed key regulatory filings.
LaShonda holds a Bachelor of Arts in Finance from Michigan State University and a Master of Science in Accountancy. She is a Certified Fraud Examiner and holds the FINRA SIE and Series 3 licenses.
