Kathy is a Senior Regulatory Compliance Professional at CRC with over 20 years of career experience in financial services. During her early career, Kathy gained administrative experience in the retail front office before moving into roles in back office operations and compliance, where Kathy developed her skillset in supervision and compliance. Kathy has held roles working as a supervisor – performing branch audits, trade reviews, account reviews, heightened supervision reviews, advisory fee billing and reporting, as well as roles in advertising and communications review for both wholesale and retail dual registered firms. As a former CCO and COO for an independent RIA and a small dual registered broker dealer, Kathy managed general regulatory compliance, operations, registration, testing, training and firm risk management.
Kathy maintains the series 7, 24, & 63 licenses.