As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
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.