About
Bob Lavigne has nearly 30 years of experience as a chief compliance officer, regulator, and consultant working with investment advisors, broker-dealers, insurance companies, and private fund organizations on compliance, supervision, risk management, and related matters. He previously served as CCO for a large independent RIA with over $300 billion in assets, was managing director and practice leader at Bates Compliance, and worked as a director at PwC and as a senior examiner at FINRA's Boston district office. He holds a B.S. in criminal justice from Westfield State University and an MBA from Anna Maria College.
Experience
- Hightower AdvisorsChief Compliance Officercurrent2026 — presentChicago, Illinois, United States
- Edelman Financial EnginesVice President & Chief Compliance Officer2023 — 2026Boston, Massachusetts, United States
- VALIC Financial Advisors, Inc.Broker-Dealer Chief Compliance Officer2022 — 2023Massachusetts, United States
- Kaufman RossinDirector, Risk Advisory Services - Broker-Dealer & Investment Advisers2021Massachusetts, United States
- Bates GroupManaging Director, Compliance Practice Leader2018 — 2021Greater Boston Area
- PricewaterhouseCoopersDirector2011 — 2017
- GW & Wade, LLC & GW & Wade Asset Management Co., LLCChief Compliance Officer2005 — 2011
- FINRASenior Examiner2003 — 2006
- Allmerica Investments/VeraVest InvestmentsAsst. Vice President/Team Manager/Sr. Analyst2000 — 2003
- PFPC Global Funds ServicesSr. Investment Specialist1998 — 2000
Skills & more
AML7Anti Money Laundering4Asset Management7FINRA8Finance6Financial Risk7Financial Services16Investments14Risk Management16Mutual Funds8SEC1Securities5
+6 more
Series 7TrainingWealth ManagementDue DiligenceManagementFinancial Analysis- Certified ERG Leader — ERG Leadership Alliance (ELA)
From Bob's professional profile.
Colleagues at Hightower Advisors
Barrett Lopez
General Counsel at Hightower Advisors
Dan Berg
Chief Financial Officer at Hightower Advisors
Doug Besso
Chief Technology Officer at Hightower Advisors
Jared Schwartz
Chief Risk Officer at Hightower Advisors
Jenn Anderson
Chief Marketing Officer at Hightower Advisors
Jennifer Krevitt
Chief Human Resources Officer at Hightower Advisors
Larry Restieri
Chief Executive Officer at Hightower Advisors
Matthias Kuhlmey
Chief Development Officer at Hightower Advisors
Frequently asked questions
- Who is Bob Lavigne?
- Bob Lavigne has nearly 30 years of experience as a chief compliance officer, regulator, and consultant working with investment advisors, broker-dealers, insurance companies, and private fund organizations on compliance, supervision, risk management, and related matters. He previously served as CCO for a large independent RIA with over $300 billion in assets, was managing director and practice leader at Bates Compliance, and worked as a director at PwC and as a senior examiner at FINRA's Boston district office. He holds a B.S. in criminal justice from Westfield State University and an MBA from Anna Maria College.
- Where does Bob Lavigne work?
- Bob Lavigne is Chief Compliance Officer at Hightower Advisors.
- Where did Bob Lavigne go to school?
- Bob Lavigne studied at Anna Maria College (MBA, Finance); Westfield State University (B.S., Criminal Justice); St. Mary's HS.
Same school
Also attended Westfield State University2
Shared employers
Also worked at Kaufman Rossin3
Also worked at Bates Group1
Also worked at PricewaterhouseCoopers1,102
David PhuController at Felicis VenturesTianen LiangTax Controller at Felicis VenturesJanet WolpertInvestor at Index VenturesAryo TehranianManaging Director at Mayfair Equity PartnersAne Tolnes HaugdalInvestor at InvestinorEgilInvestor at Investinor
+ 1,096 more
Also worked at FINRA13
Floyd H. GriffithManaging Partner at Little Bristol PartnersMark CasadyGeneral Partner and Co-Founder at Vestigo VenturesJohn ParmigianiCEO & Fund Manager at Disruptive VenturesMitch BrooksFounding Managing Partner at High Street Equity PartnersBrendon CaioneDeputy General Counsel at B Capital GroupPatricia HatzfeldChief Compliance Officer at Ritholtz Wealth Management
+ 7 more