Built on Experience.
With over three decades of experience, Summit Compliance Group has been a pioneer in providing affordable, tailored compliance services for Insurance producers, Independent Marketing Organizations, Insurance Carriers, Registered Investment Advisers (RIAs), and other Financial Institutions.
Our expertise lies in simplifying intricate insurance and investment regulations, empowering businesses to concentrate on growth.
About the Founder
Maureen James, FLMI, AIRC, ACS - Owner/Principal
With a career in compliance spanning more than three decades, Maureen’s expertise includes the insurance, securities and registered investment adviser industries, with an extensive background in advertising compliance. She has held numerous compliance management roles supporting corporate and field compliance initiatives, always embracing a strong client-centered approach. Maureen is former President of her local Association of Insurance Compliance Professionals (AICP) chapter and a former board member for the Insurance Advertising Compliance Association (IAdCA). In addition, she is a former Board of Directors member for the National Association for Fixed Annuities (NAFA), and has been recognized by NAFA as one of the women, past and present, pioneering annuity distribution. Maureen has previously held Series 6, 7, 24, 26, 63, and 65 registrations.