Erin Baskett is a Bates Testifying and Consulting Expert and the founder and CEO of Sine Qua Non Global. She is a financial, compliance, and operational executive with significant experience in accounting, auditing, crypto, business consulting, advisory, private placements, investment banking, traditional brokerage, capital markets, fintech and financial services, with a solid knowledge of U.S. GAAP, tax, IFRS, FINRA, NFA and SEC rules in companies with both domestic and international presence serving both retail and institutional.
Ms. Baskett specializes in establishing new financial firms (advisory, brokerage, crypto, fintech, etc) as well as serving as an executive officer of existing firms while helping them find ways to improve on regulatory compliance and efficiency. Over the past 10+ years, she has served as CEO, CCO, COO and/ or CFO across nearly a dozen firms congruently covering traditional brokerage, advisory, fintech and crypto/ NFT. Ms. Baskett holds multiple certifications, including Certified Public Accountant (CPA), Chartered Global Management Accountant (CGMA), and Certified Human Resources Specialist (CHRS), and regulatory licenses.
Erin is a consultant and subject matter expert in these Practice Areas and Services:
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Securities and Financial Services Litigation & Consulting
- Retail Securities
- Institutional Securities
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Data, Analyses & Analytics
- FX TCA
- Early case Assessment
- P/(L) Analyses
- Damage Assessment & Evaluation
- Supplemental Analytics
- Complex Trading Analyses
- Big Data Analysis & Reporting
- TCPA Do Not Call Data Analysis
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AML & Financial Crimes
- Anti-Money Laundering
- Third Party Risk Management
- Internal Investigations
- Fraud & Risk Management
- Valuation
- SPACs
- Forensic Accounting and Economic Damages
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Compliance Solutions
- Broker-Dealers
- Registered Investment Advisers
- Cyber Security
- Anti-Money Laundering
- Compliance Testimony
- Telephone Consumer Protection Act (TCPA) Compliance & Litigation
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Insurance and Actuarial Services
- Insurance
- Actuarial Services
- Cyber Insurance
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MSB, FinTech and Cryptocurrency
- MSB Consulting
- BSA/AML/OFAC Compliance
- Money Transmitter Licensing
- Virtual and Cryptocurrency Compliance
- BitLicense
Credentials
EXPERIENCE
Sine Qua Non Global LLC, Chief Executive Officer (CEO), President, CCO, and FinOP Contractor, Scottsdale, AZ, 2019 – Present
Autonomous Research, Founding and Managing Partner – Global Chief Compliance Officer (CCO), AMLCO, Chief Financial Officer (CFO), New York, NY, 2012 – 2019
Smith Moore & Co., EVP / Chief Financial Officer, Director of Internal Audit (IA), St. Louis, MO, 2010 – 2012
WNN, P.C., Senior Audit Job Manager and Business Consultant, St. Louis, MO, 2004 – 2010
Moneta Group, Financial Assistant - Family CFO, St. Louis, MO, 2003 – 2004
A.G. Edwards, Broker-Dealer Operations, St. Louis, MO, 2001 – 2003
EDUCATION
Bachelor of Arts (BA), Business and International Finance, University of Missouri, Columbia, MO
• Dean’s List, Who’s Who, and Cum Laude honors
Master of Business (MBA), Accounting, Lindenwood University, St. Louis, MO
• National Dean’s List
PROFESSIONAL QUALIFICATIONS/LICENSING
• Licensed: Series 24 (General Securities Principal), Series 27 FINOP (Financial and Operations Principal), Series 7 (General Securities Representative), Series 99 (Operations Principal), Series 65 (Registered Investment Advisor), Series 14 (Chief Compliance Officer), Series 57 (Trading Principal) and Series 4 (Registered Futures and Options Principal)
• CPA – Certified Public Accountant / CGMA – Chartered Global Management Accountant
• Certified Human Resources Specialist (CHRS)
PROFESSIONAL MEMBERSHIPS
• Member of AICPA Women in the Profession, CPA and Business Professional Group, Finance Club, and Missouri Society of Certified Public Accountants. Accounting Executive Research Committee member
• FINRA District Committee Member
• YZF Advisory Board member – St. Louis Zoo
PROFESSIONAL RECOGNITION
Named to “Power 30 under 30,” Business Journal’s “30 Under 30,” and St. Louis Post-Dispatch “Up and Coming” List