Regional Compliance Manager
Cody Augustus supports Carson Group as a Regional Compliance Manager. He is a direct contact for the advisors and offices in his region to offer education and implement a thriving culture of compliance. Cody is part of the Compliance Committee that reviews policies and procedures to make sure they are adequately supervised and current with evolving regulatory landscape.
He has financial services experience with Broker/Dealers, Clearing Firms, and Insurance Companies. Cody has worked in a variety of facets, including client services, operations, sales, and compliance.
Cody and his wife Laura have two daughters and two dogs, Bolt and Katie, that keep them busy. He enjoys outdoor activities, such as camping and hiking, and likes to play recreational sports.
Getting to know Cody
Favorite TV show: Game of Thrones
Favorite holiday: July 4th
Something on Cody’s bucket list: Learn Spanish, French, Italian, German, Portuguese and Japanese
If Cody could meet anyone, past or present, it would be: Joe Rogan