As a Compliance Associate | Operations Coordinator, Courtney supports the firm’s Chief Compliance Officer in maintaining and enhancing the firm’s regulatory compliance program. Courtney earned her Bachelor’s degree in Finance from Bellevue University in Nebraska and is currently pursuing the Series 65 exam and the Investment Adviser Certified Compliance Professional (IACCP) designation as part of her ongoing commitment to expanding her knowledge and professional development.
In her role, Courtney supports compliance monitoring, reporting, employee trade and e-comms surveillance, and the development and maintenance of firm policies and procedures, helping to uphold the firm’s regulatory obligations and overall risk management framework.
Courtney’s compliance career began in 2017 and spans multiple industries, including healthcare, insurance, investment banking, and wealth management. Her work has included KYC and AML reviews, policy development, regulatory reporting, and employee trading oversight, marketing and client communications review, strengthening the firm’s compliance capabilities and enhancing its ability to support clients.
Outside of work, Courtney enjoys going to the beach, lifting weights, hot pilates, traveling, and spending time with her family, friends, and her two dogs, Baxter and Lola.
As a Compliance Associate | Operations Coordinator, Courtney supports the firm’s Chief Compliance Officer in maintaining and enhancing the firm’s regulatory compliance program. Courtney earned her Bachelor’s degree in Finance from Bellevue University in Nebraska and is currently pursuing the Series 65 exam and the Investment Adviser Certified Compliance Professional (IACCP) designation as part of her ongoing commitment to expanding her knowledge and professional development.
In her role, Courtney supports compliance monitoring, reporting, employee trade and e-comms surveillance, and the development and maintenance of firm policies and procedures, helping to uphold the firm’s regulatory obligations and overall risk management framework.
Courtney’s compliance career began in 2017 and spans multiple industries, including healthcare, insurance, investment banking, and wealth management. Her work has included KYC and AML reviews, policy development, regulatory reporting, and employee trading oversight, marketing and client communications review, strengthening the firm’s compliance capabilities and enhancing its ability to support clients.
Outside of work, Courtney enjoys going to the beach, lifting weights, hot pilates, traveling, and spending time with her family, friends, and her two dogs, Baxter and Lola.
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