Susan is the Chief Compliance Officer of Glen Eagle. She is responsible for registration and licensing of personnel; adoption and monitoring of supervisory policies and procedures; anti-money laundering; continuing education; business continuity planning; registration and licensing; CRD administration; customer complaints; books & records retention; supervision of electronic communications; communications with the public; and regulatory inquiries. Ms. DuMont has over 27 years of securities industry experience.
From January 2010 through February 2018, Ms. DuMont served as CCO for a dually registered broker-dealer and Registered Investment Advisor, Gagnon Securities. In this role, she was responsible for managing all of the firm’s compliance activities.
From January 2001 through February 2018, Ms. DuMont served as Compliance Officer, Chief Financial Officer and Operations Manager for hedge fund Gagnon Investment Associates. In this role, she designed the hedge fund’s compliance program and directed all of the hedge fund’s administrative, operational, and compliance functions.
Prior to 2001 Ms. DuMont worked at several broker-dealers including Dean Witter as a compliance and operations professional.
Ms. DuMont maintains the Series 10, 14, 24, 27, 4, 57, 63, 7, 87, and 9 registrations.