Reach out to our Chief Compliance Officer

Christine has been a compliance officer for Mutual Funds, Variable Annuities, Full-Service Brokerage Services, Registered Investment Advisors, Direct Placement Programs and Hedge Funds.  She has worked for small firms and large, international firms.  She started her compliance career in the legal/regulatory department of a regional bank.

As a chief compliance officer Christine, works with registered representatives to help them do business compliantly.  Compliance is a process and not a checklist.  She wants to talk things through rather than fix problems.  As a Project Management Professional®, Christine uses the methods and metrics of project management and ISO-9000 to ensure an effective compliance program. 

She holds the 4, 6, 7, 14, 24, 26, 53, 63, 66 and 99 registrations.  She is also as Certified Securities Compliance Professional (CSCP) and a Project Management Professional (PMP®).

Email Reach out to Christine