Shaun Corry joined Lesa Sroufe & Co., Inc. in May of 2006. As Compliance Manager, Shaun reviews and ensures that LSC’s compliance and operational aspects achieve the highly compliant risk assessment as defined by the SEC. This includes documentation of annual portfolio reviews, maintaining compliance records, reviewing portfolio holdings, as well as overseeing LSC’s adherence to the firm’s Code of Ethics.

Prior to joining LSC, Shaun worked for the NASD, the self-regulatory group overseeing the securities/brokerage environment, for 17 years (1989 – 2006). She served, first as Senior Examiner and then as Compliance Specialist in Seattle, Washington. Shaun’s work spanned all areas of NASD operations, including investor education, admitting new member firms, and conducting audits and investigations of member firms and their registered representatives.

From 1987 – 1989, Shaun served as Securities Accountant for Safeco Insurance Company, interfacing with the Investment Department to translate data for financial publication and certifying to its accuracy. During her tenure there, Shaun obtained a Master’s in Business Administration from Seattle University.

Following college graduation, Shaun was hired by Scott Paper Company where she served as a cost accountant from 1981 – 1987.

Education
B.A., Accounting, 1981, University of Notre Dame
M.B.A., Finance, 1989, Seattle University