Stephanie is a member of the firm’s Compliance Advisory Team by serving as Coordinator of Firm Compliance. In this role, she provides support to the Chief Compliance Officer and compliance team as requested. Some of those responsibilities include maintaining accurate agreements that are aligned with the firm’s compliance policies, reviewing new client or changes to existing clients’ documentation to ensure compliance, and periodically testing client accounts, as directed, to match investment objectives with portfolio allocations.
Stephanie also works closely with the Chief Operating Officer, Chief Compliance Officer, Manager of Operations, and Director of Practice Management in order to maintain and efficiently implement compliant processes and operations throughout the firm.
In Stephanie’s secondary role, she serves as the firm’s Coordinator of Client Onboarding. She acts as the primary resource as it relates to the onboarding and/or maintaining of clients within our firm. This includes understanding the firm’s internal processes as they relate to paperwork, agreements, and billing, to ensure all necessary team members in the firm are part of the onboarding for new and existing clients.