Laurie Moore Director of Compliance
Blueprint is on a mission to ‘win together,’ and that doesn’t happen without partnership – with financial advisors, with external firms that have specialized expertise, and among the functional areas of the business. Ultimately, Blueprint is about elevating the services its clients have traditionally received, and having strong compliance is a natural extension of that.
As Director of Compliance, Laurie’s “let’s find a way” approach to addressing new questions and changes the financial services industry directly contributes to the ability of Blueprint Investment Partners to be an uncommonly great partner to financial advisors.
Laurie has in-depth knowledge of securities and investment adviser laws and regulations, as well as broad-based financial services experience, including in independent financial advisory, broker-dealer, tri-party clearing broker-dealer, and private wealth settings.
Laurie joined Blueprint Investment Partners in 2024 and oversees the firm’s compliance function, including:
- Ensuring compliance with applicable laws, rules, and regulations at the federal and state level, including proper registration of the firm and personnel, management of required disclosure documents, record retention, and marketing material reviews
- Establishing, documenting, and monitoring adherence to internal policies and procedures
- Aiding in the decision-making process for strategic initiatives, seeking to reduce vulnerabilities and mitigate risk to the firm
- Performing regular audits and reviews to yield insights and support improvements to the overall compliance program
- Conducting regular training of existing team members and onboarding of new team members
- Monitoring compliance with know your business (KYC), anti-money laundering (AML), and other account-opening regulations for new clients and accounts, where applicable
Her entire career has been in financial services. She started in 1990 with sales and client service roles but soon transitioned to compliance. Laurie has led and supported compliance at several firms in Dallas, TX, including Wachovia Securities, Lehman Brothers, Titan Securities, Maplewood Investments, and Citi Private Bank.