Director of Compliance
As Director of Compliance, Laurie’s “let’s find a way” approach to addressing new questions and changes in the financial services industry helps Komara Capital Partners consistently deliver an experience that aligns with the firm’s core principles.
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.
Laurie joined Komara Capital Partners in 2024 and oversees 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
- Supervising the firm’s investment advisory representatives and registered representatives
- Monitoring compliance with know your business (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. Laurie has led and supported compliance at several firms in Dallas, TX, including Wachovia Securities, Lehman Brothers, Titan Securities, Maplewood Investments, and Citi Private Bank.
Proud Texan
To know Laurie is to know that she – and her family – are joyfully Texan. She was born and raised in the Lone Star State, and most recently she settled in Frisco with her husband Seth and their beloved dog, Legacy.
The 2021 move to Frisco followed her youngest child’s graduation from Grapevine High School and the building of a new home. Her children, Jacob and Courtney, are both proud Texas Tech University alumni.
Outside of work, Laurie loves exploring new places with family and friends, catching live music at concerts, working on puzzles, and binge-watching the latest series. Whether it’s traveling or enjoying a quiet evening at home (ideally with a glass of wine), she always seeks new experiences and joy in even the most ordinary moments of life.
