Beth Haddock

A founder and CEO of Warburton Advisers, Beth provides operational and risk management advisory services to digital businesses for institutional and retail users offering SaaS & devices, blockchain and fintech tools. She advises on regulatory and legal requirements for product and business development, M&A, ESG, data protection, anti-fraud and more. Beth has developed a patented regulatory technology, is the author of Triple Bottom-line Compliance: How to Deliver Protection, Productivity and Impact and the host of the podcast “What’s Ethical.”

Beth has over 25 years of international C-suite experience with financial services and insurance businesses. She has honed her operational understanding of finance, regulation, compliance investigations, risk management and market development. As the former Head of Compliance at Brown Brothers Harriman (BBH), a global custody bank with over $4.7 trillion in assets, she successfully led initiatives including service center expansion in Europe, efforts to secure strategic funding and the compliance program redesign.

Beth served as BBH’s Global Chief Compliance Officer (CCO) for the ’40 Act funds, broker-dealer and investment advisor through several resiliency events including the 2008 credit crisis. She also served as the ranking attorney for the ABA Securities Association Lawyers Committee lobbying for the industry on Capitol Hill.

Before becoming the Head of Regulatory Affairs, Beth rebuilt the compliance program as CCO for Guggenheim Investments, which managed more than $200 billion in capital covering 10 different investment sectors and ‘40 Act and private funds including investments in oil & gas and manufacturers.

Beth also held legal and regulatory positions on Capitol Hill and AXA Financial where she led the compliance initiative for M&A, was awarded a global innovation award for her work transforming the 7000+ salesforce from agents to fiduciaries, completed a multi-year development program in Europe and served as Corporate Secretary to the AXA Advisors Board of Trustees.

Beth previously served as an independent director, corporate secretary and member of the Nominating and Governance Committee for the Brooklyn Music School and the MUSE Academy. She was also a member of the Board of Trustees for Flat World Partners, an impact investing firm.

Beth currently serves as independent director to GMO-Z.com Trust Company, a new subsidiary of a publicly traded Japanese tech conglomerate and issuer of stablecoins. A respected chair of the Compliance Committee and member of the Audit Committee, she brings deep knowledge of AML, financial technology and regulatory trends with her first-hand experience of crisis management and regulation.
She serves as advisor to Balancer, a global start-up DeFi platform, where she is laser-focused on value-added sustainable governance for the DAO and the defi community.

Beth is a member of the Compliance Committee for the NYC Bar Association and National Society of Compliance Professionals’ Regulatory Committee. Beth is also a member of the Advisory Board and Nominating Committee for the non-profit Good Sports and a Chair of the Climate Smart Communities Task force for her New York community.

Beth earned a BA in Economics from Bucknell University, a JD from The Catholic University of America and executive program credentials from Yale University (Sustainability as a Business Enabler), University of Virginia, Darden (Leadership) and University of California, Berkeley (Sustainable Capital & ESG).



New York, New York • 917-455-6570 • [email protected] • linkedin.com/in/bethhaddock