3iCO Leadership
LAURA LEE FLANAGAN
3iCO, LLC
Counsel, Principal, CEO, and
Board Member
Tel: 917.913.5619
Counsel at Royer Cooper Cohen Braunfeld
Laura is a seasoned attorney and innovative entrepreneur. Her expertise as a business advisor to independent financial service companies is extensive, particularly in constructing Compliance Programs from inception through implementation and ongoing maintenance. Laura has guided numerous clients through regulatory examinations with entities such as the Securities and Exchange Commission, FINRA, the DOL, and State agencies. Presently, she holds roles as outsourced General Counsel and/or Chief Compliance Officer for investment advisory firms, drawing upon her vast practical and educational knowledge to provide invaluable support to her clients.
JUSTIN C. DAUSCH
3iCO, LLC
Counsel, Principal, COO, and
Board Member
Tel: 781.771.6032
Counsel at Royer Cooper Cohen Braunfeld
Justin offers comprehensive assistance to investment management and broker-dealer clients, specializing in navigating the intricate landscape of financial services regulations. Justin adeptly tackles complexities in product and broker-dealer regulation and oversees Securities and Exchange Commission (SEC) and FINRA examinations and investigations with finesse. Justin has held pivotal positions such as Chief Compliance Officer, AML Officer, and Senior Counsel across various SEC and FINRA-registered investment management firms. He is known for his proficiency in conducting mock regulatory examinations and guiding clients through successful regulatory exams.
ALLISON G. JAFFE
3iCO, LLC
Principal and Director of
Compliance Programs
Allison has worked in compliance for more than 15 years, holding roles with Broker-Dealers and Investment Advisers, and serving as a Chief Compliance Officer (CCO). She adeptly built and maintained comprehensive compliance programs for firms of all sizes, guiding them through numerous regulatory exams. In addition to serving as CCO and consultant to numerous investment managers, Allison works to maintain the compliance programs of our clients as well as integrate our systems, teams and talent within 3iCO. With a career that began in finance in 1993, she quickly rose to Syndicate manager in the Broker-Dealer sector before specializing in institutional work with large clients on the NYSE buy side. Her practical industry knowledge enables her to excel in building and maintaining robust compliance programs tailored to the needs of financial firms.
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RANDY KISER
3iCO, LLC
Compliance Director
Randy is a Compliance Director at 3iCO, focusing on Broker Dealer and Investment Adviser compliance services. He has over 30 years of experience in the financial services industry, where he held various compliance and regulatory leadership positions, including Chief Compliance Officer and Institutional Regulatory Officer for broker-dealer firms. In addition, Randy has extensive operational experience with Registered Investment Companies and Regulatory Enforcement with a state financial regulator. His experience includes developing and managing compliance programs adherent to FINRA and SEC rules and regulations, regulatory research and analysis, policy and procedure documentation, supervision, and training. Randy also brings extensive client relationship skills, allowing him to partner effectively with 3iCO clients by balancing his technical and procedural skills with a thoughtful, collaborative approach.
DONNA RITTERSHAUSEN
3iCO, LLC
Compliance Director
Donna has specialized in SEC and FINRA regulatory compliance for over 25 years, serving in Chief Compliance Officer and Executive roles with SEC-registered Investment Advisers engaged in wealth management and private fund businesses, as well as private placement Broker-Dealers. Donna has developed expertise in liquid asset management, private placements, AML programs, operations, corporate governance, and risk management, with a passion for enhancing the investor experience. As Compliance Director at 3iCO, Donna effectively integrates workable compliance solutions for our clients. She holds an insurance producer license in Pennsylvania, as well as various FINRA securities licenses.
NICOLE AMARI
3iCO, LLC
Senior Compliance Associate
Nicole is a Senior Compliance Associate at 3iCO, specializing in managing SEC and regulatory filings for a diverse client base. Her responsibilities include critical filings such as 13F, 13H, 13D/G, Form PF, Form ADV, Form N-PX, and U4/U5. In addition, she works closely with the CEO and COO to develop and maintain 3iCO’s consulting services, enhancing internal processes related to regulatory filings and compliance reviews. Nicole serves as a compliance consultant for Registered Investment Advisors (RIAs), Private Funds, Broker-Dealers, and Registered Investment Companies, providing assistance with compliance testing, mock exams, and 206(4)-7 reviews. She also leads continuing education initiatives, ensuring compliance with FINRA, IAR CE, and other training requirements. Furthermore, she is part of the internal product development team, focusing on workflow enhancements and new systems implementation.
DOUGLAS KAMIN
3iCO, LLC
Chief Product Officer
With a career spanning nearly four decades, Douglas has extensive experience in designing, implementing, and managing compliance programs across a wide range of financial entities, including investment advisers, investment companies, hedge funds, private equity firms, broker-dealers, bank holding companies, and insurance companies. Doug’s skills include developing compliance policies and supervisory procedures, guideline monitoring, and ensuring adherence to codes of ethics. He excels in project management, best execution practices, compliance monitoring, forensic testing, and audits. Additionally, he is adept at managing cross-trades, trade aggregation and allocation, market surveillance, regulatory examinations, inquiries, supervision, implementing information barriers, conducting KYC processes, and overseeing continuing education and training programs.
CADIEN MAYERS
3iCO, LLC
Consultant
Cadien has over 20 years in financial services, serving as Chief Compliance Officer, Chief Anti-Money Laundering Officer, and Chief Privacy Officer. She provides Governance, Risk, and Compliance (GRC) consulting and compliance advisory services. Cadien effectively designs compliance frameworks, conducts assessments to identify regulatory risk exposure, and performs independent reviews of regulatory remediation efforts performed against audits, supervisory findings, and self-identified issues. She provides strategic guidance on BSA, AML, KYC, sanctions, and financial crimes. She focuses on staying ahead of evolving legal, regulatory, and compliance obligations to keep policies and procedures aligned with current standards. With deep expertise in compliance procedures, regulatory examinations, and risk management, she has a strong track record of ensuring both internal and external processes comply with the law.
3iCO, LLC
Chairman
John is a Founder and Managing Partner at Royer Cooper Cohen Braunfeld, where he is a member of the Corporate & Business, Employment, and International Groups. He brings more than 35 years of business and corporate law experience to his clients, for whom he frequently serves as outside general counsel. He focuses his law practice primarily on mergers and acquisitions, financings, and other business and corporate law transactions, of which he has handled hundreds during his career, as well as counseling emerging growth technology and life science companies, middle-market and family-owned businesses, and their executives and investors. He serves as Chairman of 3iCO, an affiliate of Royer Cooper Cohen Braunfeld LLC.
3iCO, LLC
Board Member
Roger is a Founder and Partner at Royer Cooper Cohen Braunfeld. where he focuses his law practice on financing and development strategies and transactions for investors and a wide array of businesses in various stages of development. Among other things, Roger’s practice encompasses fund formation, private equity and venture capital transactions, debt and equity offerings, mergers and acquisitions, real estate and corporate restructurings, as well as a range of business and commercial transactions, agreements and general business counseling. Roger is also actively involved in strategic opportunities for the firm. He serves on the Board of 3iCO, an affiliate of Royer Cooper Cohen Braunfeld LLC.