Director of Compliance

The Role:
Brett oversees the firm’s supervisor’s (ASO’s -Agency Supervisory Officers), associate registered principals and administrative staff within the department.

In addition, he provides coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment within the firm. Brett is also responsible for the preparation for and response to audits and ensuring that audit findings are appropriately responded to and remediated.

The Story:
Brett Courtmanche has been interested in finance for as long as he can remember. He started investing at a very early age, studied finance in college, and eventually became a Certified Fund Specialist, maintaining his Series 4, 7, 9, 10, 24, 53 and 66 registrations.

Brett parlayed this expertise into a supervisory career 18 years ago, overseeing compliance for a regional wirehouse’s municipal bond trading unit before joining the compliance team at Charter Oak. Here, he leads the firm’s entire supervisory and compliance function, helping advisors coast-to-coast and across disciplines to protect their practices.

When Brett is not in the office, he enjoys spending time with his family, attending sporting events and playing with his dog, Reggie. He lives in Southington, CT with his wife and children.