Laurie Moore Chief Compliance Officer & Senior Vice President
As Chief Compliance Officer and Senior Vice President, Laurie’s “let’s find a way” approach to addressing new questions and changes in the financial services industry directly contributes to the ability of Maplewood Investments to be an uncommonly great partner to financial professionals and investors.
Her tenure with Maplewood Investments dates back to 2008. She spent 14 years overseeing the firm’s compliance program before briefly stepping away, rejoining when Maplewood Investments became affiliated with the Blueprint family of companies in 2024.
Laurie has in-depth knowledge of securities and investment adviser laws and regulations, as well as broad-based financial services experience, including in independent financial advisory, broker-dealer, tri-party clearing broker-dealer, and private wealth settings.
She directs the firm’s compliance function, including:
- Ensuring compliance with applicable laws, rules, and regulations at the federal and state level, including proper registration of the firm and personnel, management of required disclosure documents, record retention, and marketing material reviews
- Establishing, documenting, and monitoring adherence to internal policies and procedures
- Aiding in the decision-making process for strategic initiatives, seeking to reduce vulnerabilities and mitigate risk to the firm
- Performing regular audits and reviews to yield insights and support improvements to the overall compliance program
- Conducting regular training of existing team members and onboarding of new team members
- Monitoring compliance with know your client (KYC), anti-money laundering (AML), and other account-opening regulations for new clients and accounts, where applicable
Her entire career has been in financial services. She started in 1990 with sales and client service roles but soon transitioned to compliance. Prior to joining Maplewood Investments in 2008, Laurie led and supported compliance at several other firms in Dallas, TX, including Wachovia Securities, Lehman Brothers, and Titan Securities.