Carolyn is a member of our compliance group, whose primary responsibilities include the day-to-day management of our clients’ compliance programs. Her duties include coordination of annual reviews, compliance testing, administering of the policies and procedures and ultimately keeping the compliance calendar on track.
Carolyn has nearly 20 years of experience in the financial services industry. Prior to joining CCS, Carolyn served as compliance manager for Brinker Capital Inc. and Brinker Capital Securities collaborating with the Chief Compliance Officer in the design, development and management of the firm’s compliance program.
Carolyn attended Delaware County Community College. She holds the following FINRA licenses: Series 7 and 24.
During her time away from CCS, Carolyn enjoys spending time with her daughter and her puppy, Coco. She also loves to exercise or relax reading a book.