Robin Freeman

Experience

1. Chief Compliance Officer

   Lasalle Investment Management Distributors, Llc

   Nov 2019 — Present · Chicago, IL, US

   Chief Compliance Officer (CCO) at LaSalle Investment Management Distributors, a SEC registered Broker-Dealer and member of FINRA. As CCO, I am responsible for running the end-to-end compliance program, including the implementation of written compliance policies and written supervisory procedures, oversight of firm training, branch office review programs, as well as review of private fund and public non-traded REIT marketing materials. Provide guidance regarding the solicitation activities for private funds and wholesaling activities with participating broker-dealers and RIAs in connection with the ongoing offering of a public offering. Partner with LIMD business leaders to provide direction on compliance related matters relating to develop new policies and procedures that apply to new regulations, business initiatives, or modifications to current business activities. Participate with global organization while participating in working groups to implement new technology to enhance workflows and systems.

Education

• Purdue University

  Bachelor of Science (B.S.), Political Science and Government

  1984 — 1988

• The Philadelphia Institute

  Paralegal Certificate, International Trade Law and Business

  1988 — 1989

Skills

• Privacy Compliance
• Uniform Combined State Law
• Equities
• Closed-End Funds
• Finra
• Series 24
• Fixed Income
• Investment Management
• Series 63
• Alternative Investments
• Aml
• Broker-Dealer
• Securities Regulation
• Securities
• Series 65
• Cta/Cpo Registrations
• Due Diligence
• Hedge Funds
• Series 7
• Asset Management
• Mutual Funds
• Risk Management
• Investment Advisory
• Executive Management
• Msrb