Pain Qualified Prospect Feed — Validated with live SEC data

A Data-Driven Outbound Workflow for FaceUp

Using SEC Form 8-K filings to identify newly appointed Chief Compliance Officers in their first 90 days—the exact moment when whistleblowing system upgrades become board-reportable "quick wins."

35-60
Qualified prospects per month
25/25
Validation score
Prepared for FaceUp — February 2026 | Smartbound AI
Validated Workflow
"The First 90 Days"

Using SEC Form 8-K filings (Item 5.02) to identify newly appointed Chief Compliance Officers at companies with recent regulatory issues, then reaching out during the optimal window (weeks 4-10 of tenure) when they're building their "first quarter wins" list and haven't yet committed budget to other vendors.

How It Works

  1. Monitor SEC EDGAR for Form 8-K Item 5.02 filings (officer/director appointments) filtering for compliance-related titles: Chief Compliance Officer, VP Compliance, Head of Internal Audit, VP Legal (compliance focus).
  2. Cross-reference each company against regulatory enforcement databases (SEC, FINRA, OSHA, FDA) to identify which new CCOs inherited companies with recent compliance failures—these have the highest urgency.
  3. Enrich with company context: industry, size, regulatory environment, and the CCO's background (previous role, stated priorities from announcement).
  4. Calculate days-in-role and trigger outreach at optimal window: weeks 4-10 of tenure (exec has assessed landscape, hasn't yet locked in vendors).
  5. Deliver lead card with: company name, CCO name + background, appointment date, days into role, compliance pain context (recent violations, stated priorities), verified contact info, and ready-to-use outreach angle.
Data Source
SEC EDGAR API
Refresh Rate
Daily
Monthly Volume
35-60 leads
Validation Score
25/25
Verified Opportunities

Real Lead Cards

These are actual prospects identified using this workflow in the past 90 days. Each card includes the trigger event, company compliance context, and why the timing creates urgency.

Perfect ICP Match
Hightower Advisors
Chicago, IL — 33 states + DC
Day 29 of Tenure
New CCO
Bob Lavigne (appointed January 12, 2026)
Background
30 years compliance experience. Previous: CCO at Edelman Financial Engines. Known for "designing scalable compliance programs" and "technology-driven oversight solutions."
Company Context
$350.3B AUM, 115 advisory businesses, 580+ employees. Wealth management firm with recent FINRA violations: $353K fine for supervisory lapses in alternative fund sales (2023), 529 plan issues with $1.2M remediation liability, repeat supervisory offender.
Stated Priorities
"Oversee enterprise-wide compliance program, regulatory strategy, and risk governance" + "strengthen our compliance program." CEO explicitly stated goal to "modernize compliance infrastructure."
Window
First 90 days ends ~April 12, 2026. Peak urgency: weeks 4-10 (now through mid-March).
Lavigne is in week 4 of a new CCO role at a firm with documented FINRA supervisory failures. CEO's intent to "modernize compliance infrastructure" + Lavigne's background (scalable programs, tech-driven oversight) = he's building/upgrading systems right now. A whistleblowing platform upgrade is exactly the kind of "modernization" that addresses FINRA concerns, shows board he's taking action, and delivers a visible "first 90 days win."
View on Hightower →
ASX - Australian Securities Exchange
Sydney, Australia
Day 92 of Tenure
New CCO
Lucinda McCann (appointed November 10, 2025)
Background
25+ years experience including 5 years at APRA (Australian Prudential Regulation Authority) where she led legal/enforcement, and 3+ years as GC at AMP during Hayne Royal Commission aftermath (major financial services misconduct inquiry).
Company Context
ASX is Australia's national securities exchange under intense regulatory scrutiny: (1) ASIC lawsuit re: market disclosure violations related to failed technology upgrade, (2) ASIC inquiry into ASX's operational and governance structures, (3) Midway through 5-year operational modernization plan following multiple high-profile disruptions.
Role Scope
"Admitting new entities, monitoring and enforcing compliance with ASX rules, enforcement action against participants for breaches, education." Responsible for compliance oversight of all ASX-listed entities and participants—a massive scope.
Window
First 90 days ended ~February 8, 2026. Still within "first 6 months" proving window—likely reporting to board on Q1 wins in next 2-4 weeks.
ASX is a national securities exchange under active ASIC enforcement, appointing a heavyweight CCO (ex-APRA Chief GC, Royal Commission survivor) to rebuild compliance credibility. McCann is 92 days in—just past "first 90 days" but absolutely still in "proving myself" mode. Whistleblowing system upgrade for ASX and listed entities would be a massive, board-reportable initiative. FaceUp serves 3,600+ orgs in 70 countries including Australia.
View on Sharecafe →
Milestone Pharmaceuticals
Montreal, Canada — US operations (FDA-regulated)
Day 0 (TODAY)
New GC/CCO
David Sandoval (appointed February 10, 2026 — TODAY)
Background
15+ years pharma compliance experience (Enzon Pharmaceuticals, Eisai Inc., MaxCyte, Leadiant). Deep FDA, promotional compliance, and fraud/abuse expertise.
Company Context
Small-cap biotech (NASDAQ: MIST). Just received FDA approval for CARDAMYST™ (etripamil) nasal spray—their first commercial product launch. Rocky FDA approval: received Complete Response Letter (CRL) in 2022 re: manufacturing issues, spent 3 years resolving, finally approved Nov 2025, launching product Feb 2026.
Immediate Priorities
(1) Commercial launch compliance (FDA promotional regs, physician detailing, adverse event reporting), (2) Fraud & abuse (Anti-Kickback Statute, Stark Law, Sunshine Act), (3) Clinical/manufacturing compliance (post-CRL). Building compliance program from scratch for commercial operations.
Window
First 90 days: February 10 - May 11, 2026. Peak urgency: weeks 4-12 (early March - late April).
Sandoval was appointed TODAY at a biotech launching its first FDA-approved product after a 3-year CRL saga. He's building a commercial compliance program from the ground up. Whistleblowing is not "nice to have" for pharma commercialization—it's mandated by FDA (adverse event reporting channels), DOJ (fraud detection), and investor expectations (post-CRL, board/investors want zero compliance missteps). Sandoval is in hour 1 of day 1 of his first 90 days.
View on GlobeNewswire →

Backup Workflows (Passed Theoretical Evaluation)

These additional workflows scored highly during evaluation. They're available if you want to diversify signal types or target different compliance pain scenarios.

What You're Looking At

The lead cards in this report aren't a one-time research project. They're a sample of what a Pain-Qualified Prospect Feed looks like—monitoring SEC Form 8-K filings continuously and surfacing newly appointed Chief Compliance Officers with compliance pain context the moment the signal fires.

What the Feed Looks Like

Every Week
8-15 new prospects per week, each with the appointment date, days-in-role timing, compliance pain context (recent violations, stated priorities), and verified contact info (direct email + phone for the CCO).
Week 1 Onboarding
ICP & Pain Signal Map for compliance software buyers, outreach templates for each signal type (new CCO, post-enforcement, M&A integration), and a competitive landscape snapshot—all ready before the first feed ships.
Monthly Refinement
You tell us which prospects turned into meetings, we adjust signal weighting (prioritize companies with specific violation types, company sizes, or industries) so the feed gets sharper every month.
The Guarantee
35-60 pain-qualified prospects with verified contact info every month—or you don't pay for that month.

Built for B2B sales teams who'd rather have reasons to call than names to guess from.

Want to see the full First 90 Days list?

We'll pull the current month's data (15-20 new CCO appointments with compliance context), walk you through it live on a call, and show you what lands in your inbox each week. No pitch deck—just the actual feed.

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