As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
Kris is a compliance professional with more than 20 years of experience in both Asset Management and Financial Services industries. Prior to joining CRC, Kris served as a Principal Compliance Advisor with Nuveen, a TIAA company reviewing marketing materials primarily relating to the Firm’s Digital strategies. Kris also worked at Transamerica Asset Management in several different roles, including managing staff of marketing compliance review analysts, performing branch audits of the firm’s retail broker/dealer and various functions relating to the Fund Complex compliance department. Kris has extensive knowledge and experience with advertising and marketing communications regulatory rules.
Kris has a Bachelor of Arts in Marketing and Management and also holds the Series 7, 24, 63 and 65 securities licenses.