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Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Kim Matisoff

Regulatory Compliance and Operations Professional

Kim Matisoff is a regulatory compliance/operations professional with 10 years experience in the financial service industry. Prior to CRC, Kim served as a Compliance Analyst at Eaton Vance, where she was involved in all aspects of the Broker Dealer compliance program. In her role, she lead supervisory controls testing; managed all training features; conducted branch and non-branch inspections; advised employees on entertainment and gifts; maintained policies and procedures including the WSP; conducted annual Needs Analysis; and assisted with employee registrations.

Kim earned her MBA from Assumption University. She also received a Bachelor of Arts in Accounting, as well as Economics from Assumption University. Kim holds Series 7, 24, and 66 securities licenses.

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