Kathryn K. Miceli
PO Box 756 | Oak Ridge, North Carolina 27310 | 252-439-1888 | firstname.lastname@example.org
Summary of Qualifications
- Chief Compliance Officer with five years experience in ADV Part I & II applications, SEC registration, Wed IARD, Advisory Contracts and Advisor Acts.
- NRS Certificate of Compliance 2005: Advisory Contracts, Form ADV & Advisor Agreements
- Operations and Client Services Director with more than 9 years experience in the financial industry.
- Excellent communication and organizational skills, with an emphasis on compliance, management, public relations, sales, marketing, employee training, and leadership.
2001 – Present | Kiely Financial Services, Inc.
Chief Compliance Officer | Operations & Client Services Director
- Responsible for maintaining all areas of KFS Compliance Program in relations to SEC rules and regulations. Created new Compliance Program and Manual in order to comply with the new Compliance Rule 206(4)-7.
- Provides operational leadership in the day-to-day operations through employee management, client services, investment education, event and program management, accounting, advertising, company website, new account procedures, and marketing of services.
- Responsible for coordinating the sales and marketing of investment services with current and prospective clients, throughout the states of NC, SC and VA.
2006 – 2007 | Retirement Educational Services, LLC
Chief Compliance Officer | Operations Director
- Responsible for the development and implementation of Compliance Department and Operational structure for firms start-up.
- Maintained all areas of firms Compliance Program and aligned business activities to comply with SEC rules and regulations.
- Provided operational support and leadership in other areas such as account management and quarterly newsletters.
2004 – 2006 | Carolina Wealth Management
Chief Compliance Officer | Marketing Coordinator
- Responsible for the implementation of Compliance Department and operational structure during the start-up of the company.
- Managed, designed and coordinated the marketing of the company’s website, educational seminars, quarterly newsletters and adverstising.
East Carolina University, Greenville, NC
BS in Communications, 2001
National Regulatory Services, New York, NY
Spring Compliance Certification (Form ADV, Advisor Agreements, & Advisor Acts), 2004
Corporate HeadquartersP.O. Box 756
Oak Ridge, NC 27310
Mountain Branch4 Highland Place
Asheville, NC 28804
Greenville Branch901 Forest Hill Circle
Greenville, NC 27858
Coastal Branch1207 Earnley Cove
Leland, NC 28451
New York Branch8305 Decoy Run
Manlius, NY 13104