Andy Small

Andy Small is the Chief Compliance Officer for RBC Wealth Management, with responsibility for managing the compliance programs for the Private Client Group and Custody & Clearing business lines.

Mr. Small joined RBC in March of 2017 with over 20 years of compliance, legal and risk experience in the securities industry. Andy started his career in the securities industry as an enforcement attorney for both CBOE and NASD Regulation. Andy was the Chief Legal and Risk Officer for Scottrade where he headed the Legal, Compliance and Enterprise Risk Management functions.  He also served in senior Compliance and legal roles with A.G. Edwards & Sons and Craig-Hallum Capital Group. Andy started his career as an active duty attorney in the US Navy, where he prosecuted and defended a wide variety of criminal and administrative cases.

Andy has served on the boards of the SIFMA/Wharton Securities Industry Institute and the National Society of Compliance Professionals. He has also served as a member of the Securities Industry/Regulatory Council on Continuing Education, FINRA’s e-Brokerage Committee and was Chairman of FINRA’s District 4 Committee.

Andy holds a J.D. from DePaul University College of Law and a B.A. from Michigan State University.