Justine K.
Chief Compliance Officer @Calfee, Halter & Griswold Llp
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WORK HISTORY
Chief Compliance Officer @Calfee, Halter & Griswold Llp
Indianapolis, IN, US
I am a compliance leader with more than two decades of experience in the investment industry, advising Registered Investment Advisors and Broker-Dealer firms on regulatory compliance, risk management, and operational strategy. I have led compliance programs across various financial institutions, including serving as an outsourced CCO for multiple firms. Additionally, I design and implement firm-wide compliance policies, manage regulatory examinations, and develop training programs to support supervisory principals and registered representatives.
ABOUT JUSTINE K.
Compliance leader advising financial institutions on regulatory compliance, risk management, and operational strategy.
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