Kathleen Joaquin

About Kathleen Joaquin

I\'m a collaborative and strategic leader who uses broad industry/regulatory knowledge, while leveraging project management/process improvement strengths, in executing effective compliance & risk management programs, and operational processing and servicing best practices/standards. In addition to having FINRA Series 7 and Series 24 licenses, I was a Certified Public Accountant (currently inactive) and experience with big 4 public accounting firms (PwC and EY). From a business perspective I\'m approachable while offering superior quality in driving change. Using razor sharp analytical skills, I\'m known for producing concise well-written work product. I\'m an excellent listener and communicator that drives efficient and effective solutions on projects while adhering to critical deadlines.My core competencies include:• Securities Regulation & Policy (Investment Advisers, Transfer Agents, Mutual Funds, Broker-Dealers)• Compliance & Risk Management Assessments and Reporting• Regulatory Inquiries & Examinations – SEC, FINRA, MSRB, States• Auditing (including SOC1/SOC2 & SEC 17Ad-13 Reports)• Staff Management and Team Building• Change and Issue/Incident Management• Transfer Agency Recordkeeping and Servicing• Pooled Products & Distribution• Securities Operations and Processing• Technology• Business Continuity and Cybersecurity• Fund Accounting and Financial to connect with me: k•••••••@verizon.net

Experience

1. Trustee

   National Captioning Institute

   May 2024 — Present

   Board of Trustees Member & Audit Committee Chair

Education

• Florida Southern College

  BS, Accounting

• The George Washington University School of Business

  MBA, International Business and Finance

Skills

• Relationship Management
• Equities
• Alternative Investments
• Series 7
• Mutual Funds
• Risk Management
• Securities
• Fixed Income
• Financial Services
• Finance
• Asset Management
• Investments