The RIAs Guide to a Successful Annual Compliance Review

In this one hour-webinar, compliance experts, Chad Hartwick, Director of Compliance at RIA in a Box, Ann Hauerland, Head of Registration and Regulatory Affairs at RIA in a Box and Marilyn Miles, Vice President, Consulting and Education at NRS discuss the ins and outs of the annual compliance review process. Learn about the important tasks for a successful review, the cost of non-compliance and the ongoing benefits of automating your compliance processes.

HubSpot Video



Chard Hartwick

Chad Hartwick

Director of Compliance at RIA in a Box

Chad has spent well over twenty five years in the financial services industry in many different roles. The majority of that time was spent as the Securities Examination Manager for the State of Michigan where he supervised and managed the examination program of investment advisers as well as broker- dealers. As an active member of NASAA, he worked with other regulators on investigations, project groups, and training of other examiners. Prior to that, he worked in compliance and supervision of various investment advisers and broker-dealers. For the last nine years Chad has worked for RIA in a Box in a compliance consulting role. Chad is a graduate of Michigan State University.

Ann Hauerland Headshot-16

Ann Hauerland

Head of Registration & Regulator Affairs at RIA in a Box

Ann joined RIA in a Box in 2014 and now serves as the Head of Registration & Regulatory Affairs by leading the Compliance Analyst Team and New Registration Team. Ann has been in the securities industry for over a decade. She began her career as a regulator for the Texas State Securities Board, where she registered hundreds of investment adviser firms, broker dealers and securities offerings. She worked cross functionally with various divisions at the TSSB assisting in investigations and sanctions. Ann earned a Bachelor of Business Administration from Texas State University, McCoy College of Business Management, and then completed her Master of Business at Baylor University, Hankamer School of Business. 

Marilyn Miles-14

Marilyn Miles

VP of Consulting & Education at NRS

Marilyn joined NRS in 1994 as a Consultant and in 2015, Marilyn was named VP of NRS Consulting & Education departments. In this capacity, Marilyn manages the firm’s consulting services and education departments, overseeing the hiring, training and performance of the teams. Marilyn received a Bachelor of Arts degree in English from Regis College, magna cum laude, and a Juris Doctor degree from New England School of Law. She is a member of the State Bar of Massachusetts.