Dave Shiwdin, JD

Regulatory Auditing Specialist

Dave Shiwdin joined Asgard in January 2026 as a senior regulatory auditing specialist. Dave provides independent, examiner‑grade compliance and supervisory reviews to Asgard’s FINRA member firms. With a career spanning regulatory oversight, global banking, and legal training, Dave brings a deep command of FINRA and SEC rules and regulations to Asgard’s clients.

Before joining Asgard, Dave held key roles across major financial institutions, most recently serving as Lead Auditor and Vice President of Regulatory Compliance at Crédit Agricole CIB. In that capacity, he led full‑cycle regulatory audits, assessed control environments, supervised audit teams, and contributed to the development of global audit methodologies. Prior to that, he served as a Compliance Testing Manager at Scotiabank, where he evaluated first‑ and second‑line controls, supported regulatory examinations, and strengthened enterprise‑wide compliance testing programs.

Dave’s regulatory career includes a distinguished tenure at FINRA, where he served as both a Senior Examiner and an Associate Principal Examiner. During his time there, he conducted complex examinations of broker‑dealer membership applications, reviewed supervisory systems, analyzed digital‑asset‑related business models, and trained junior examiners. His work provided him with a comprehensive understanding of regulatory expectations and the practical challenges firms face in meeting them.

At Asgard, Dave acts as a third‑party reviewer for FINRA member firms. In this role, he performs assessments of AML programs, supervisory systems, and control frameworks to ensure firms meet the undertakings required by FINRA regulations. His work includes independent AML testing under FINRA Rule 3310, supervisory reviews under FINRA Rules 3110 and 3120, and comprehensive regulatory audits across FINRA, SEC, CFTC, and NFA requirements. Dave is known for delivering clear, defensible, and regulator‑aligned results that withstand examiner scrutiny.

Dave earned his Juris Doctor from Tulane University, where he developed the legal and analytical foundation that informs his approach to regulatory interpretation, governance evaluation, and risk assessment. His combined legal, regulatory, and audit experience makes him a uniquely valuable resource for firms navigating today’s complex compliance landscape. Dave brings both technical depth and approachability to every engagement.

Outside of his professional work, he enjoys spoiling his kids, working on classic 1990s–2000s cars, and coaching youth baseball at St. James/Smithtown Little League—interests that reflect his commitment to family, community, and hands‑on problem‑solving.