Chief Compliance Officer & Client Operations
- (720) 715-7944
PASSION: Helping the team be their best while keeping the firm compliant.
ROLE: My role is focused on helping ensure regulatory compliance, operational integrity, and exceptional client service.
INDUSTRY EXPERIENCE: 27 years
EDUCATION: Bachelor of Arts, University of Colorado, Boulder
HOBBIES: I am fortunate to live in Colorado, where I can experience some of the greatest hiking around. I love volunteering my time to various causes and projects. Most recently, I sorted the donations made to Stamp Out Hunger, and it was a lot more fun than I expected! I was impressed with the generosity of my neighbors.
Erin is a seasoned professional serving as the Chief Compliance Officer and Client Operations Specialist. With an extensive background in regulatory compliance and client operations, she helps to ensure the highest standards of compliance and operational excellence. Erin is responsible for developing and implementing compliance policies, procedures, and controls to ensure adherence to industry regulations and safeguard client interests. With exceptional attention to detail and in-depth knowledge of compliance frameworks, Erin works diligently to maintain the integrity of the firm’s operations and protect clients’ assets. Additionally, Erin collaborates closely with cross-functional teams to streamline client operations, enhance service delivery, and ensure a seamless client experience. With a client-centric approach and a passion for compliance excellence, she plays a pivotal role in upholding the firm’s commitment to ethical practices and delivering exceptional client service. Erin has 27 years of experience in various aspects of the Wealth management industry.