Michelle Mackey, MFA Wealth Management Practice

Michelle
Mackey

CFE, CRMA, MBA     |     CHIEF COMPLIANCE OFFICER

(978) 569-2909
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EXPERIENCE

As Chief Compliance Officer for MFA’s Wealth Management Practice, Michelle is responsible for recommending, initiating and administering policies and procedures to help the Firm maintain and adhere to regulatory compliance standards and best practices. She has experience with all facets of compliance including the administration of policies and procedures, RIA annual testing, advertising and marketing reviews, and regulatory responsiveness. Michelle also serves as Chair of the Firm’s Investment Committee.

Additionally, Michelle brings over eighteen years of business and financial experience to her role at The MFA Companies® helping the Firm’s clients optimize performance, control risk and adhere to regulatory compliance. Her ability to examine, identify and evaluate complex regulations, procedures and systems results in proven, practical recommendations that positively impact clients’ business processes.

Michelle is sought after by clients for her expertise, particularly in the areas of business process efficiency, Sarbanes-Oxley (SOX) compliance, SSAE 18 audits and System and Organization Controls reports (SOC 1, SOC 2 and SOC 3), internal audits, litigation support and forensic accounting. In addition, as a Certified Fraud Examiner (CFE), Michelle works closely with clients to identify areas of fraud susceptibility within their current systems, procedures and transactions. She also assists in the development, review and refinement of clients’ internal controls and critical oversight processes.

EXPERTISE

  • SEC regulatory compliance
  • Regulatory due diligence
  • Compliance program maintenance
  • Annual SEC filings ADV’s Part 1, Part 2A and 2B
  • SEC surprise examinations
  • Business process efficiencies
  • Internal audit
  • Business process efficiency
  • Sarbanes-Oxley compliance and readiness services
  • SSAE 18 audit services and Service Organization Control reports (SOC 1, SOC 2 and SOC 3)
  • Fraud investigations and fraud prevention programs
  • Forensic accounting
  • Internal control design and testing
  • Internal control evaluation and remediation

 

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