Samuel Kucia is a compliance professional with over 10 years of experience in senior compliance roles within the asset management industry.
Samuel joined Waystone from First Trust Advisors L.P. where he held the role of Senior Fund Compliance Officer. In this role, Samuel was responsible for the production and review of policy and procedural documents for First Trust ETFs, VITs and Mutual Funds.
At Waystone Compliance Solutions, Samuel works with clients to ensure a smooth compliance process, assisting with and providing advice on SEC and CFTC filings and compliance manuals. Samuel conducts regular reviews of client compliance programs, drafting SEC required annual reviews and conducting compliance training sessions.
Samuel holds a Bachelor’s degree in Finance and Marketing and has passed the FINRA SIE and Series 7 examinations. In addition, Samuel is a National Regulatory Services (NRS) Investment Advisor and Certified Compliance Professional (IACCP).