Conway Dodge

Conway serves as the Deputy Head of Promontory's Regulatory Advisory Practice in the Americas, as well as the Head of the Compliance Practice Group for the Americas and Co-Lead of the Digital Assets Practice.

In his client-facing work, Conway advises asset managers, broker-dealers, fintechs, digital asset firms, banks, regulators, and private and public companies on all aspects of regulatory, compliance, examination, and enforcement issues, with particular expertise in regulatory matters involving the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). He conducts compliance reviews, risk assessments, and internal investigations, and he draws on his regulatory expertise to assist clients in anticipating and reacting to regulatory expectations, and he has led multiple engagements where Promontory has been appointed the independent compliance consultant in connection with regulatory settlements. In his capacity as Deputy Head of the Americas, Conway works directly with leadership across all of Promontory’s practice areas, including Financial Crimes, Risk, Technology and Information Risk Management, and Quantitative Services.