Megan Happel

Compliance Specialist

Megan Happel joined Northern Lights Distributors, LLC (NLD) in October 2017.  In her current role as Compliance Specialist, Ms. Happel has a multitude of compliance-related responsibilities, including reviewing client advertising materials to ensure they adhere to regulatory guidelines and helping clients establish selling agreements with broker-dealers and banks.

Ms. Happel started her career in April 2010 at Gemini Fund Services, LLC, a sister company to NLD.  During her 7.5-year tenure Ms. Happel’s varied responsibilities included NAV calculations of Mutual Funds, VITs and ETFs, creating and implementing a complete training program for all new hires and continuing education for current employees, managed a team for a company-wide fund accounting system conversion and supervised the 120-day onboarding process for new customers which included communication and integration with multiple internal departments for successful onboarding.

Ms. Happel graduated from the University of Nebraska at Omaha with a Bachelor of Science in Finance and Banking and a Minor in International Business.  Additionally, Ms. Happel currently holds the Series 7, 24 and 99 securities registrations.  While away from the office, Ms. Happel enjoys cooking, traveling and spending time with her family.

Meet the Team

Executive Team

Bill Strait
Mike Nielsen
Chief Compliance Officer

Compliance Team

Gary Danahy
Compliance Program Director
Janelle Hardy
VP, Compliance
Chris Wendt
Compliance Specialist
Megan Happel
Compliance Specialist

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