SENTINEL Coordinator
Linda S. Baulch is a Senior Associate and SENTINEL Coordinator for MGL Consulting Corporation. Ms. Baulch has more than 25 years experience in the investment industry. Her responsibilities include consulting with clients on services provided under MGL’s SENTINEL ongoing compliance program. In this regard, she advises clients on the status of SENTINEL services on a regular basis and works to enhance the quality of these services by coordinating closely with MGL staff. She reviews operational and recordkeeping issues with clients including a Quarterly Compliance Report Card and SENTINEL Calendar to inform firms how the various compliance activities are being administered.
Prior to her SENTINEL assignment Ms. Baulch worked within MGL’s Investment Advisor business providing various compliance services. These included on-site home office and branch office compliance examinations of investment advisors; compiling compliance documents to meet federal and state requirements; and tracking registration, amendments and withdrawals for clients.
Before joining MGL Consulting Corporation, Ms. Baulch spent two years with Fiserv Investor Services, Inc. as the Product Manager and Executive Operations Manager for two insurance companies. She supervised the insurance operations, launched the managed money program and managed products offered through the broker/dealer.
Ms. Baulch was also an Associate Vice President at Morgan Stanley for nine years where she was the coordinator for the Access managed money program. She developed financial plans and invested assets for high net worth individuals.
Prior to Morgan Stanley, Ms. Baulch was the Corporate Secretary/Treasurer of investment advisor Beutel, Goodman Capital Management Ltd. for 13 years. She organized the company, oversaw compliance with the SEC and IRS and supervised the staff.
Ms. Baulch holds a Master of Science degree in Finance from the University of Houston and has completed the Financial Planning Program at the same institution. She carries Series 4, 7, 24, 63, and 65 registrations from the Financial Regulatory Authority (FINRA) along with a Group I insurance license.