Suzanne L. Bond
Suzanne L. Bond is a highly regarded Chief Compliance Officer with a
demonstrated track record for over 25 years in various sectors of the financial
services industry. She began her career with a national wire house in fixed income
and futures, and further expanded her expertise across regional and independent
broker/dealers, and registered investment advisory firms where she has held
positions in sales, marketing and compliance. In her current role as Senior Vice
President, Chief Compliance Officer of Inland Securities Corporation, the affiliated
dealer/manager of Inland Real Estate Investment Corporation, Ms. Bond contributes
her skills in areas of business governance and risk management, investment
management practices, alternative investment markets, and compliance management.
She is a strong
influencer to senior business stakeholders, assisting with strategic planning, operational procedure,
employee compensation, and technology systems development. Prior to joining Inland, Ms. Bond served as
Vice President and Director of Supervision for the Capital Markets Group at Wedbush Securities. Prior to
that, she served as Chief Compliance Officer for a number of independent broker/dealers and investment
advisory firms, both retail and institutional.
In January 2020, Ms. Bond was appointed to the Financial
Industry Regulatory Authority (“FINRA”) Midwest Region Committee for a three-year term. She is a frequent
panelist/guest speaker at national industry events including the inaugural SEC Compliance Outreach
Ms. Bond holds a B.S. in International Business from Union Institute & University and a Master of
Jurisprudence, Business Law from Loyola University Chicago. She is fluent and/or conversant in six
languages, and holds FINRA Series 7, 24, 63, 66, 79, and 99 licenses.
Pramit Das is Associate Director-Technology of FINRA’s Advertising Regulation Department. In this role, his responsibilities include managing a filings review group; assisting with administration of the filings review program; developing and maintaining the department’s technology needs; providing education to members, FINRA staff and other regulatory staff; and participating in certain rule amendment and rulemaking projects as necessary.
He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation. Prior to joining NASD in 1994, Mr. Das worked for Metropolitan Life Insurance Company and Arthur Andersen & Co. He holds an MBA in Finance from the University of Maryland, College Park, and an MA in Financial Economics from Clemson University, Clemson, South Carolina. He was also Series 7 and 63 registered.
Sheelagh Howett is Chief Risk Officer at Cantella & Co., Inc. She is on the Board of Directors and shares leadership responsibility with the executive management team for overseeing the growth and success of the firm. She focuses on keeping clear and regular communication between business units and compliance within the firm. She strongly believes that risk is an enterprise-wide responsibility and has created a risk-aware culture including an understanding that risk prevention is everyone’s job.
She continually works to further develop risk-management processes to identify, assess, and respond to the inevitable risks that face our industry. At the same time, she works to improve the efficiency and integration of existing processes into daily routines so they become ingrained in the firm's business.
Ms. Howett is an active member of the Greater Boston Chamber of Commerce, the New England Broker/Dealer Investment Advisor Association, and the Women in Pensions Network. Originally from Ireland, Ms. Howett earned a BA in Banking and Finance at University College in Dublin. She holds FINRA Series 7 and 24 licenses.