Nickie Oathout is joining My RIA Lawyer as a Compliance Officer 2. Nickie is a results-driven compliance professional with over a decade of experience in financial regulation, risk analysis, and corporate governance. With a strong foundation in the Investment Advisers Act of 1940, Securities Exchange Acts, and FINRA rules, she has built a career centered on helping financial institutions uphold integrity, ensure compliance, and manage regulatory risk.
Most recently serving as a BSA Investigator at CBW Bank, Nickie lead investigations into financial crimes, including money laundering and fraud, and ensures policies and procedures align with AML/BSA regulations. She also managed corporate governance tasks, facilitates committee meetings, and responds to federal inquiries, including Grand Jury Subpoenas.
Prior to CBW Bank, Nickie worked as a Compliance Consultant at COMPLY, where she advised investment advisers and broker-dealers on a range of regulatory matters. Her work included conducting annual reviews, branch audits, AML audits, and guiding firms through the registration and CRD/IARD filing processes. She also developed compliance manuals and presented regulatory topics at industry events.
Nickie’s regulatory roots were established at the Kansas Insurance Department, where she held roles in both the Securities and Financial Surveillance Divisions. She analyzed financial data, reviewed registration filings, evaluated compliance issues, and drafted legal memorandums and administrative recommendations.
Nickie holds a bachelor’s degree in finance from Rasmussen University, graduating Summa Cum Laude, and an Associate of Arts and Paralegal Certificate from Johnson County Community College. She is also an Investment Adviser Certified Compliance Professional (IACCP) and a Certified Paralegal.
With a commitment to upholding the highest standards of compliance and a track record of navigating complex regulatory frameworks, Nickie brings both strategic insight and meticulous execution to every role she undertakes.
