Carol Rose

Oversee compliance for sub-advised mutual funds and ETFs under the Investment Advisers Act of 1940, ensuring adherence to regulations and client guidelines. Represent compliance in client due diligence meetings and support the completion of questionnaires.

Identified and mitigated risk by reviewing transactions in client accounts for suitability and adherence to company policy and procedures. Oversaw Firm’s Central Supervision to ensure adherence to procedures for reviewing client accounts.

Hired and led a team of 19 team members responsible for handling client and financial advisor calls. Supported business operations through coaching team members to meet efficiency goals and service level agreements.

Coached new financial advisors on strategic business development practices to attract and retain new and existing clients. Supported growth of department through writing and delivering training to new associates.

Completed a Master's program focused on legal studies with an emphasis in financial compliance. Gained in-depth knowledge of regulatory frameworks and compliance practices relevant to the financial industry.

Earned a Bachelor of Science degree with a focus on Business Management. Developed foundational knowledge in business principles, operations, and management practices.