Compliance in Blockchain

Founder & Partner of Harbor Peak LLC

Lynn Connolly

Lynn Connolly is the Founder & Partner of Harbor Peak LLC where she provides global compliance and risk management advisory services to firms utilizing DLT, AI, IoT and related technologies. She serves as an Advisor and outsourced CCO to several companies globally, including one that launched a successful ICO in the US; and has worked for a cryptocurrency exchange providing compliance, risk management, ALM, trading strategies, and ICO due diligence advisory services. For firms using DLT, AI, IoT and related technologies, in addition to providing customized compliance and operational policies and procedures, Lynn has advised on business model and strategy, operational processes, and token structuring to continue enabling sustainability and innovation while maintaining compliance with regulatory guidelines. She has worked with start-ups covering a variety of business segments to help ensure compliance requirements are adhered to in product design, wallet processes, widget programming, transactions, communications and documentation, and financial reporting among others. She also assists in the establishment of ongoing monitoring and reporting systems. Prior to Harbor Peak, Lynn has had over 25 years in financial services working for such firms as Merrill Lynch, JP Morgan Chase, and Deloitte. She has provided advisory services to some of the largest global financial institutions, asset managers, funds, and trading desks in the areas of compliance, risk management, regulatory requirements, operational risk assessments, strategies, and valuation. She has also worked with private equity and sovereign wealth funds on the due diligence of real assets in industries including energy, infrastructure, real estate, consumer goods, and technology. Lynn has managed several forensic investigations on behalf of global financial firms, where she designed and developed models, databases, and processes; and presented findings to regulators. These included market timing and late trading, fixed income trading, distressed debt trading, real estate direct investment, AML global correspondent banking, commodity pricing, structured products, and bankruptcy proceedings. She has presented and given testimony to regulatory agencies including the US SEC, Federal Reserve, US DOJ, NYS Dept of Financial Services, and the FBI. She has also conducted operational and risk assessments for firms in preparation for regulatory on-site audits. Lynn co-authored the whitepaper “The Missing Link: How a Distributed Ledger System Can Support Global Climate Action,” and an abstract on SSRN “Using a Loyalty Reward Token Program to Reduce the Cost of Solar Desalinated Water.”  She is published in the areas of risk management and valuation, is a speaker at industry events, and has held training sessions for companies and regulatory agencies. Lynn has a Series 65 License, Uniform Investment Advisor Law Examination. She holds a B. S. in Economics from The Wharton School, University of Pennsylvania.