Veronica PiusVP, Compliance Associate

Year joined Shields & Company:



Veronica serves as the liaison between Wellington Shields and First Clearing, providing guidance and resolution of compliance and operational issues. She is the point person for the firm’s Anti-Money-Laundering audit, is responsible for its CRD filings, and presides over Firm Element and FINRA Regulatory Continuing Education programs. Employee training and scrutiny of required documentation are also among Veronica’s slate of daily and ongoing responsibilities. Member FINRA Continuing Education Content Committee.

Previous Experience/Career Highlights:

An assignment from a temp agency led to Veronica’s longstanding career with Wellington Shields. After learning the ropes as a Sales Assistant for multiple Registered Representatives, Veronica shifted to the Operations and Compliance side of the business.

Education and Certification:

  • New Paltz High School, Graduate
  • FINRA Licenses: Series 99

Other Interests and/or Affiliations:

  • Member of FINRA Continuing Education Content Committee

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