Megan Prendergast Millard

Megan Prendergast Millard is Senior Managing Director of Financial & Regulatory Compliance Services at Guidepost Solutions, where she assists companies in compliance matters and investigations, including risk assessments, strengthening risk management and compliance programs, remediation efforts, corporate monitorships and internal investigations.

For nearly 15 years, Megan worked at the New York State Department of Financial Services (formerly the New York State Banking Department). She began her career in the General Counsel’s office and most recently served as the Deputy Superintendent for Enforcement, where she supervised investigations of licensed institutions in a wide range of areas, including anti-money laundering, OFAC sanctions, market manipulation, virtual currency and all other banking and insurance matters. She was also responsible for oversight of monitors engaged pursuant to consent orders issued by the Department.

Previously, Megan worked for the Dreyfus Corporation in the key accounts division. While there, she provided guidance in drafting proposals for new business and established policies and procedures to ensure uniform and timely dissemination of fund information. She also served as a Senior Assistant District Attorney for the Office of the District Attorney in Kings County, New York, where she performed all aspects of criminal prosecutions from investigation to trial.

wrecking ball breaking on red umbrella

A recent SEC settlement with Interactive Brokers underscores the need for true commitment to compliance. Guidepost Solutions’ Megan Prendergast Millard offers four takeaways from Interactive Brokers’ AML scandal. Too often in companies across the financial services sector, the financial commitment to the compliance department does not keep pace with the rate of business growth. Interactive Brokers Group – which provides automated trade...

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