Kamara Gibson
Compliance Manager at Foundations Investment Advisors, LLC
- Role
- Compliance Manager at Foundations Investment Advisors, Llc
- Location
- Toledo, OH, US
- LinkedIn followers
- 500 followers
About Kamara Gibson
Results-driven and highly motivated legal and compliance professional with a Masters of…
Experience
Compliance Manager
Foundations Investment Advisors, Llc
Jan 2022 — Present
Manage the onboarding process for Investment Adviser Representatives, ensuring adherence to compliance policies- Review and analyze incoming Investment Adviser Representative and conduct Quarterly Personal Securities Transaction Reviews- Respond to advisers\' compliance inquiries promptly and efficiently-Assist in the testing and implementation of compliance policies and procedures- Conduct internal compliance audits and reviews and to identify potential areas of non-compliance- Collaborate with other departments to identify and mitigate compliance risks.
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