Dr. Shawn Bostic, DM, CFE, is the Managing Principal of Bostic Principled Solutions, LLC, an independent consulting firm specializing in regulatory compliance, organizational risk, ethical leadership, and professional judgment. She brings more than 30 years of financial-services experience across broker-dealers, investment advisers, mutual fund companies, and consulting organizations. Her career includes service as a Chief Compliance Officer and Director of Regulatory Compliance, along with extensive experience managing regulatory examinations, internal investigations, branch reviews, customer complaints, supervisory testing, risk assessments, and interactions with the SEC, FINRA, and state regulators.
Dr. Bostic holds a Doctor of Management in Organizational Leadership and is a Certified Fraud Examiner. Her doctoral research examined leadership behavior within the compliance profession, and her research proposal was presented at the University of Cambridge. She is also an author, speaker, and continuing-education instructor whose work explores the intersection of compliance, human behavior, organizational culture, fraud prevention, and artificial intelligence.
Through her signature Human Edge framework, Dr. Bostic helps professionals strengthen the capabilities technology cannot replace: moral attentiveness, independent thinking, situated judgment, ethical courage, and meaningful human connection. Her courses translate complex regulatory and behavioral concepts into practical guidance that professionals can apply when making decisions, identifying risk, investigating concerns, and protecting organizational integrity.
