TruClarity Wealth Advisors of Tampa in Florida have appointed Catherine Mustico (pictured) as the new chief compliance officer.

TruClarity is a Registered Investment Advisor supervised by the US federal Securities and Exchange Commission. It came into being last month.

Catherine Mustico will work alongside Darian Johnson, the chairman, Pamela Stross, the president and CEO, and Travis Johnson, the chief investment officer. She will oversee internal policy and procedural initiatives.

Before joining TruClarity Wealth Advisors, Mustico was the chief compliance officer of Elara Securities of New York, an international broker-dealer, where she administered compliance initiatives. She was previously an associate principal examiner (inspector) at the Financial Industry Regulatory Authority (FINRA) in that city and in Washington DC. She has almost 15 years of experience in financial and compliance consultancy services.

The website of her own firm in New York, Fundamental Compliance Consulting, says that she spent eight years at FINRA, inspecting large investment banks and assorted small firms. She served the regulator as an expert in fraud and financial crimes, private placement transactions, money laundering and training people at financial firms. She claims to know "all aspects of brokerage operations and compliance requirements."

She has a BA in Economics from the University of Buffalo and is a Certified Fraud Examiner (certified presumably by the ACFE) and a Certified Anti-Money Laundering Specialist (certified presumably by ACAMS).