Lori Weston

Lori is an experienced compliance leader with two decades of expertise advising investment advisers on regulatory and compliance matters. As Head of Compliance at ComplianceAdvisor, a division of STP Investment Services, she excels at identifying and understanding advisers’ regulatory challenges. Lori translates complex regulations into clear, actionable guidance, helping clients grasp their compliance obligations. She offers tailored best practices to enhance advisers’ compliance programs and strengthen their overall regulatory framework.

Prior to ComplianceAdvisor, Lori was Managing Director, Product at ACA, where she played a pivotal role in developing innovative compliance programs tailored to meet the needs of investment advisers. Prior to ACA, Lori was Managing Director at Foreside, where she served as Managing Director and Compliance Consultant to more than 80 registered investment advisers. Lori began her compliance journey at Lincoln Financial, where she supported independent registered investment advisers, laying a strong foundation in their compliance practices.

Through numerous mergers and acquisitions, Lori’s approach to providing personalized services coupled with a keen ability to see a client’s business through the owner’s lens helped position her firms' compliance programs as industry-leading, innovative solutions for all types of investment advisers.

8c. IA – Effective Supervisory Programs for Firms (Intermediate)