Marina Baranovsky

Principal Owner

Marina Baranovsky provides compliance consulting services focusing on the Risk Assessment for SEC and CFTC registrants, after five-year tenure at the Securities and Exchange Commission.
Ms. Baranovsky is currently serving a second term on the Hearing Committee for National Futures Association (NFA).
Ms. Baranovsky is a founding member and the President of the Board of the Washington DC Compliance Roundtable (
Ms. Baranovsky appeared on TV, and is a frequent speaker at ICI, CFAW, FPA, Washington DC BAR, NSCP, NYSSCPA, WDCCRT, and an author on topics related to Regulatory Compliance, Risk Assessment, Elder Investor Issues, Ethics, Marketing and Advertising, ESG, and others.
Ms. Baranovsky received the Meritorious Service Award at the SEC for her 5 years of outstanding Federal Government Service. Ms. Baranovsky developed and implemented Rule 17-h Risk Assessment program as a Senior Risk Analyst in the Broker-Dealer Risk Office of the Division of Trading and Markets. Prior to that, she held Senior Manager positions at both Freddie Mac and Fannie Mae, specializing in derivatives analysis and disclosure. During her career, Ms. Baranovsky also worked in finance and accounting positions at the Mutual of New York (MONY Group Inc.), Tokio Marine Management – a major Japanese P&C Insurance Company, and also, as an Auditor for the City Comptroller’s Office of New York in the Bureau of Financial Audit. Ms. Baranovsky graduated with honors from Moscow Institute of Technology, with an MBA in Accounting and Auditing, minoring in Economics. She also graduated with honors from Baruch College – The City University of New York with a BA degree, majoring in Finance and Investments.