Charles A. Christofilis, Esq., CAMS is a regulatory compliance consultant and attorney with over 26 years of experience supporting FINRA Member Broker-Dealers and SEC Registered Investment Advisers.

He serves as a Fractional Chief Compliance Officer (CCO) for wealth management firms, financial planning organizations, and broker-dealers seeking hands-on, ongoing compliance leadership without the cost or commitment of a full-time executive hire.

Charles’ work focuses on designing, overseeing, and strengthening compliance programs that support firm growth while maintaining alignment with SEC and FINRA regulatory expectations. His approach is practical, measurable, and operational — ensuring compliance programs function in real-world environments, not just on paper.

“My role is to give firms the confidence and clarity they need to operate cleanly, ethically, and with regulatory readiness at all times.”