Becky L’Allier joined the Compliance team at Ashton Thomas Private Wealth in 2023, assuming the role of Compliance Manager. In this role, Becky is focused on marketing compliance, policies and procedures, and compliance systems. Becky brings her experience in the financial services industry to support the team in ensuring regulatory compliance and operational efficiency.
Originally from Chippewa Falls, Wisconsin, Becky embarked on her professional journey after graduating from the University of Wisconsin-Eau Claire with a Bachelor’s Degree in Criminal Justice. Following her undergraduate studies, she pursued an Associate of Applied Science (AAS) Degree as a Paralegal from Rasmussen College in Minnesota, further expanding her legal expertise.
Throughout her career, Becky has gained diverse industry knowledge through her roles in various financial institutions, including a broker-dealer, life insurance company, mortgage company, and capital management firm. This breadth of experience has equipped her with a comprehensive understanding of different facets of the financial services industry, from internal operations to navigating state and federal regulatory entities.
Passionate about continuous improvement and collaboration, Becky enjoys working with individuals from different departments within an organization to enhance processes and ensure adherence to regulatory requirements. Her ability to ask pertinent questions and draw upon her wide-ranging experience allows her to contribute valuable insights to the compliance function.
Outside of her professional endeavors, Becky’s previous focus revolved around her children’s high school hockey and soccer careers. Now that her children have moved out, she has taken on a new challenge with the purchase of a fixer-upper lake property in Chippewa Falls. Embracing the DIY spirit, she looks forward to engaging in house and landscape projects, and exploring her newfound hobbies.
What drives Becky in her role in Compliance is the opportunity to work collaboratively with diverse teams and departments, contributing to the improvement of processes and ensuring regulatory compliance. She values the chance to utilize her experience to understand the intricacies of the business and support the organization’s overall success. With her dedication to maintaining high standards of compliance and her proactive approach to problem-solving, Becky is a valuable asset to the Compliance team at Ashton Thomas.