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If you are able to work within your firms to implement effective compliance programs, you will prevent problems from occurring, and detect and promptly correct problems that do occur. This is exactly what regulations intend, and the outcome that regulators seek. " |
Quote by
Lori Richards,
Director -
OCIE,
3/20/2008 |
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BACKGROUND
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 As the managing partner of Compliance Support Services LLC, Carolyn Kasky’s 25+ years of compliance consulting, project management, brokerage operations, customer service, technical writing, and business analysis experience positions her to be a knowledgeable and competent resource for her clients. She began her career with Quick & Reilly discount brokers and moved to First Union Brokerage Services where she was AVP in charge of Operations for several years. She was recruited by BHC Securities in Philadelphia as a customer service representative and during her time there served as the Firm’s technical writer, business analyst in the Systems Department, and project manager for the IT division.
In 1998, Carolyn opened her own consulting firm to provide compliance consulting, operations support, technical writing and project management to small to mid-size broker/dealers. She contracted with several other consulting firms to manage general compliance, operational, documentation and implementation projects for shared clients. From there, Carolyn joined forces with several small consulting firms to provide compliance and financial operations services to limited purpose broker dealers throughout the country.
Carolyn earned a Masters in Information Systems from Drexel University, a project management certificate from Penn State, and a Masters in Special Education from Suffolk University and currently holds the Series 7, 24, and 28 registrations.
She holds the designation of Certified Anti-Money Laundering Specialist (“CAMS”) from the Association of Certified Anti-Money Laundering Specialists (www.acams.org) where she has been a member since 2003. She also holds the Certified Securities Compliance Professional (“CSCP”) designation from the National Association of Compliance Professionals (www.nscp.org) where she has been a member since 2002.
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