Abbey joined the Asgard team in July 2020. She assists in advising financial institutions in developing proactive strategies and tactics for regulatory compliance. This includes conducting electronic communication surveillance reviews, personal securities account reviews, and assisting with Supervisory Control Testing (Rule 3120) and independent AML inspections.
Abbey assists in preparing new client files, maintaining client relations, drafting securities registrations and terminations, drafting Form BD/BR amendments and launching Firm Element Continuing Education Programs.
Prior to joining Asgard, Abbey held internships at Altice USA and Maplewood MFG. Abbey holds a Bachelor of Science Degree in Digital Forensics and a Minor in Business from SUNY Albany.
In her free time, Abbey enjoys traveling, photography and frequenting sushi restaurants.