Chief Compliance Officer
Dawn Thomason is the Chief Compliance Officer at USA Financial, joining the firm in 2008. She oversees the compliance department and the team responsible for regulatory audit and response (FINRA and SEC), policy creation and new rule implementation, branch inspections, and advertising review across all registered entities.
Dawn brought experience in the banking industry prior to joining the team at USA Financial. In her previous roles, she started out on the New Business team where she conducted suitability review for new account applications and supported the trade desk. She quickly transitioned into an advertising compliance role where she picked up review and approval of various back-office functions such as OBA review, vendor due diligence, performance reporting, and ad hoc compliance issues.
Dawn graduated from Purdue University with a Bachelor of Science degree and has a CIPM (Certificate in Investment Performance Measurement) from CFA Institute. She spends as much time as she can outside of work with family. She has three boys and making memories with them is important. Weekends are usually spent at travel soccer tournaments or basketball games. When the weather warms up and summertime arrives, you can find her enjoying the pool, riding ATVs, and having bonfires with family.