As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
Ashley is a Regulatory Compliance and Operations Professional at CRC with over 15 years of career experience in the Financial Services Industry. Her career began as a registered sales assistant and office manager for a wealth management firm, where she was responsible for managing client relationships including servicing and maintaining the firm’s book and records, branch compliance, and new hire training. Her career developed over the years from this role to an auditor, then investment analyst/business consultant, and, ultimately, a compliance specialist. Her first Compliance role was for an Ohio-based broker-dealer where she was the primary compliance point of contact for approximately 70 firm Member Offices and the lead on the branch examination program. Most recently, Ashley was a client liaison and compliance specialist for a dually-registered RIA firm where she maintained and revised policies,
procedures, and client agreements, conducted all marketing reviews and approval for RIA related marketing and managed the firm’s regulatory compliance with FINRA and SEC requirements, including the necessary annual filings.
Ashley has a Bachelor of Business Administration in Finance and a Bachelor of Science in Accounting from The University of Akron. She also maintains her series 7 and 24 registrations, Life, Health and Variable Annuity Insurance Licenses, and the NRS Investment Adviser Certified Compliance Professional (IACCP ® ) Designation co-sponsored by the Investment Adviser Association (IAA).