Linda Stump

Compliance Consultant

Linda Stump is a Compliance Consultant for Renaissance Regulatory Services, Inc., a full-service consulting firm. The firm offers a wide range of regulatory and compliance consulting services to broker-dealers and registered investment advisers. Mrs. Stump has more than twenty-five years of experience in insurance and broker-dealer compliance.

Prior Compliance Leadership Experience

Prior to joining the Renaissance Regulatory Services team, Mrs. Stump served as Chief Compliance Officer and Privacy Officer for an insurance-only broker-dealer owned by a large national bank. In this role, she was responsible for developing compliance and operating manuals, policies and procedures, compliance communications, and training. She also conducted branch audits and managed firm responses to the SEC, FINRA, and state securities regulators. In addition, she reviewed marketing materials for compliance and developed and managed emergency response and business continuity planning and testing. Before becoming a registered principal, she served as a Legal and Compliance Manager. In that role, she drafted and managed contracts and assisted Corporate Counsel with various acquisitions and divestitures.

Additional Professional Experience

Mrs. Stump’s background also includes positions in Corporate Communications, Human Resources, and Operations within the insurance and medical fields.