The purpose of Progressive Compliance Advisors is to support compliance professionals, and other individuals with fiduciary accountability for the compliance and ethics program. We are more than a consultant; we are a coach, a partner, and an ally to enhance the compliance and ethics program by elevating the individuals responsible for it.
Regardless of the industry, compliance professionals serve a unique role in organizations; they are the “ethical” leaders in an organization and have an individual risk profile unlike any other role in an organization. Compliance professionals shoulder tremendous responsibility and have accountability that spans the breadth of an organization. Additionally, a compliance role requires a diverse and advanced skillset, including: a legal aptitude; proficiency in designing and evaluating policies, procedures, and operations; auditing and investigation skills; a nose for risk management; internal diplomacy; and a confident presence with regulators. All of these aspects of the compliance role point to a fundamental truth: it is the quality of the individual in the role that ultimately determines the quality of the compliance and ethics program.
At Progressive Compliance Advisors, we believe that by providing solutions and support to the individual, we can affect long-lasting change in the compliance program. We have firsthand experience with the challenges facing compliance professionals. We understand internal environments, as well as the natural tension among risks, objectives, resources, and limitations. Further, and more importantly, we appreciate the impact the compliance profession has on the individual and life outside of work. By focusing on the individual, our insights and solutions increase the sustainability of the resulting outcomes and enhancements, both for the compliance and ethics program and the individual.
Rob is the Managing Director and founder of Progressive Compliance Advisors. He brings two decades of experience and insight specializing in regulatory compliance, and spent much of that time as a thought-leader and advocate in the compliance community. Rob began his career with the U.S. Securities and Exchange Commission as an examiner for investment advisers and investment companies, before serving the industry as a consultant. For the past ten years, Rob has been the Chief Compliance Officer for an institutional investment adviser, and was recently and concurrently the Global Chief Compliance Officer for an affiliated global real estate investment division of a public company.
Rob has been tirelessly dedicated to the education, empowerment, and development of compliance professionals across all industries. He has been an advocate for compliance professionals, acting as a representative of the profession to regulators, and also served as a former chairperson and board member for the National Society of Compliance Professionals. Rob is a frequent speaker at conferences and seminars on compliance and risk topics, and has authored relevant articles for compliance publications. Further, Rob served in an advisory role for a compliance industry certification program, which included curriculum and test development.
Rob earned a master’s degree in business law with a concentration in compliance from Loyola University Chicago School of Law and a bachelor’s degree in finance from Villanova University. Rob is a Certified Compliance and Ethics Professional (CCEP), Certified Public Accountant (CPA), Certified Fraud Examiner (CFE), Certified Securities Compliance Professional (CSCP), and a Financial Risk Manager (FRM). Rob is currently pursuing his certification as a professional coach and as a personal trainer, and he continues to study mixed martial arts.