Ann Shigemura-Hildebrand is the Chief Compliance Officer of AdvicePeriod. Overseeing all aspects of our compliance protocol, Ann ensures the highest level of security. She brings the same level of discipline to our finance team.
Ann, also nicknamed Shiggy by the team, is AdvicePeriod’s Chief Compliance Officer. She gained her experience and passion for Compliance while at the U.S. Securities and Exchange Commission as an Examiner/Accountant and proceeded to stay in the industry her entire career. Prior to joining AdvicePeriod, Ann was VP of Compliance at an institutional registered investment advisor, which managed several mutual funds/hedge funds, for over ten years. AdvicePeriod offered her the opportunity to join an exciting young company with new ideas and, more importantly, firm core values that resonated with her. Her simplest but also most frequent advice is to keep to AdvicePeriod’s core values: humility, integrity, excellence, and honor.
At other firms, Compliance often has the reputation of being an “anti-business, business unit,” something that prevents firms from helping their clients. At AdvicePeriod, Ann instead facilitates the growth of the company, while also ensuring everyone adheres to rules and regulations. She is part of the review group for potential new Partner Advisors and part of a Leadership team, both of which assist the firm in identifying areas of potential risk and provides growth opportunities as well.
Her role is multifaceted and diverse, constantly working with various team members to review their data, information, and processes. She is always searching for overlaps in projects that would benefit from collaborative efforts between teams and departments to save the company from conducting duplicative work.
Ann puts Partner Advisors first, which sometimes means saying no to protect them; but she always tries to explain why, including applicable rules, regulations, and policies. Ann enjoys working with Partner Advisor because they appreciate compliance oversight and the security it provides them and their clients. She also plays a crucial role in assisting Partner Advisors with their marketing materials, not only from a Compliance standpoint but also by providing insight from her fixed income and institutional mutual fund background. She must review and approve all company and Partner Advisor marketing materials before disseminated to the public.
Compliance also contributes to AdvicePeriod’s Financial Advisors Digital Platform by providing feedback when Ann believes there are ways to make specific tasks electronic or when there are digital aspects that could be improved. She finds ways to make tasks more efficient by working closely with those in the technology department.
Ann spends her free time reading or becoming absorbed in her daughter’s favorite Netflix series, hiking, and weekend getaways like traveling to Vegas. On rare occasions, she will inline skate around the block.
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