APRIL LAMB

APRIL LAMB

CHIEF COMPLIANCE OFFICER

Ms. Lamb’s responsible for all compliance efforts at the Firm, has a great understanding of the applicable state and federal securities laws that SIA must adhere to as an RIA. In order to develop and implement an effective compliance culture at the firm, she is responsible for: designing, compiling and monitoring the policies and procedures governing SIA’s advisory business; implementing the Firm’s Code of Ethics; assessing enterprise risk management efforts; testing the effectiveness of SIA’s compliance systems and internal controls; advising and training of applicable federal laws and regulations to SIA representatives; and participating in the resolution of any compliance issues that may arise. Ms. Lamb also assists with the management of client services and operations, office management and human resources. She handles the day-to-day client inquires pertaining to client accounts. Prior to joining Sovereign in 2008 Ms. Lamb honed her skills in the many years she has been in the financial services industry. Ms. Lamb is a graduate of Jamestown College with a bachelor degree in Business Administration - Human Resources.