MutualFundWire.com
The insiders' edge for 40 Act industry executives!
an InvestmentWires' Publication
an InvestmentWires' Publication
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MutualFundWire.com
The insiders' edge for 40 Act industry executives!
an InvestmentWires' Publication |
|
Tuesday, May 27, 2008 SEC Compliance Consultants Hires Two SEC Compliance Consultants has added two new faces to its roster. Michelle Ross and Susan Vickery have joined the firm a consultants. Ross was previously a compliance officer in the Philadelphia area and Vickery was a compliance officer with SEI Investments. Company Press Release SEC Compliance Consultants, Inc. (SEC3) is proud to announce that we have hired two more Consultants in order to meet the growing compliance demands of the investment management community. Janaya Moscony, CFA, founder and president of SEC3, believes the firm is well positioned to bridge the gap between regulatory policymaking and investment manager compliance. "Compliance should not be separate and apart from other business units. Blending regulatory concerns with business initiatives is essential. Michelle Ross and Susan Vickery both bring a wealth of knowledge, diversified experience, and personalities that deliver our customer service priorities." Prior to joining SEC3, Michelle served as a Compliance Officer at various Philadelphia-based registered Broker Dealer and Investment Adviser firms. She implemented and managed comprehensive compliance programs to ensure compliance with firm obligations pursuant to SEC, FINRA (fka NASD), state and ERISA regulations including Securities Act of 1933, Securities Exchange Act of 1934 and Investment Advisers Act of 1940. Michelle earned her MBA in Management from LaSalle University and a BA in Mathematics from the University of Virginia. She also holds Series 24, 7, 26, 6, 63 and 65 registrations. Susan Vickery comes to SEC3 from SEI Investments where she served as a Compliance Officer. Susan was responsible for mutual oversight compliance programs for 75+ advisers and sub-advisers required to comply with Investment Company Rule 38a-1 and Investment Adviser Rule 206(4)-7. Prior to her role as a Compliance Officer at SEI, Susan spent four years as a mutual fund specialist at SEI where she was responsible for oversight of the SEI mutual fund complex, which also included the preparation of Board Materials and certain regulatory oversight. Prior to her SEI career, Susan provided portfolio analysis and investment consulting for various pension and profit sharing plans. Susan graduated with a B.A. in Economics and Business from Ursinus College in 1992. She also holds NASD Series 7 and 66 registrations. Please join us in welcoming Michelle and Susan to SEC3. Printed from: MFWire.com/story.asp?s=18345 Copyright 2008, InvestmentWires, Inc. All Rights Reserved |