Dylan Langlois - Consultant

Dylan Langlois has been a full time consultant for SCA since 2005. In this role, he has participated in a number of engagements, including the following:

• Design and preparation of compliance procedures for broker-dealers and investment advisers;
• AML audits;
• Supervisory Controls (3012) reviews;
• State registration issues and filings;
• Creation of internal audit testing modules and compliance calendars; and
• New broker-dealer registration

Mr. Langlois also conducts research on regulatory issues pertaining to SCA clients and writes articles from time to time on important emerging regulatory issues.

Prior to joining SCA, Mr. Langlois was a compliance associate with a regional investment banking firm. In this role, he handled day-to-day compliance issues, assisted in preparation of the firm’s supervisory and compliance procedures, conducted AML monitoring and reviews and made required filings with FINRA, state securities departments and the SEC.

Education

• B.A. Magna Cum Laude from Boston University in English Literature.