Behind the Scenes: Meet the Compliance Department

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As our valued client, you know your Advisor well, but at Telarray, we have many skilled professionals who work behind the scenes, helping build your financial future.

Today you’ll meet Amy Alexander, who is Telarray’s Assistant Compliance Officer as well as the Controller of the company.

What does your department do?

As a Registered Investment Advisor (RIA), Telarray has a fiduciary duty to our clients, and we are required to establish and maintain policies and procedures designed to prevent violations as we do our work for our clients. I assist Richard Paessler, our Chief Compliance Officer, in making sure everything we do complies with the law, though everyone in the firm plays some part in maintaining a culture of compliance. As Controller, I oversee the financial functions that go along with running the company.

How did the pandemic reshape your work?

Even before COVID, we had invested in upgrading our technology, so when our offices shifted to home, it was all pretty seamless. Working from home prompted changes in how we do our day-to-day work, though, which means our policies and procedures needed to be updated to reflect those changes. That’s much of what I do.

What would your clients be surprised to know about your department?

They might be surprised at the level of detail in our work, and how much time and care we spend on the things we do. There are always at least two sets of eyes on everything. Our goal is to be quick and effective, with no mistakes for our clients. That’s really important to us. We also enjoy talking to them when they call They might be surprised to know how hard we work to keep their assets safe. We continually test our policies and procedures as well as enlist third-party professionals to examine our application of those policies and procedures in accordance with the law.

What’s on the horizon for your department?

We keep an eye out for changes coming from the SEC in addition to updating and vetting our policies and procedures.

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