EDEN TURNER, CAMS

ASSOCIATE DIRECTOR, COMPLIANCE AND RISK MANAGEMENT

Eden has been a valuable member of Asgard since 2014, with experience in the oversight and assessment of regulatory compliance, Bank Secrecy Act / Anti-Money Laundering (AML) programs and internal controls. Since joining Asgard, she has earned the Certified Anti-Money Laundering Specialist (CAMS) Certification, performing numerous Independent AML Inspections utilizing a risk-based approach and holds the Series 14. Eden possesses knowledge in advising financial institutions in developing proactive compliance strategies and tactics with both Broker-Dealers and Investment Advisers. She has experience in remediating regulatory issues and in working with U.S. self-regulatory organizations and federal regulators, such as FINRA and the SEC.

More recently, Eden has assisted with the development of both New and Continuing Membership Applications. She is instrumental in conducting Office Inspections (Rule 3110), Supervisory Control Testing (Rule 3120), Independent AML Inspections (Rule 3310), Annual Compliance Meetings, Electronic Communication Surveillance and Trade Reviews. Additionally, Eden develops written policy and procedure manuals focusing on Supervisory, AML and Business Continuity requirements. Other areas of focus include preparing new client files, securities registrations and terminations, Form BD/BR amendments and Firm Element Continuing Education Programs.

Prior to joining Asgard, Eden was an intern with the New York Jets at their summer training camp and then worked as an Event Staff Fan Ambassador during the 2013/14 football season.

Eden holds a Bachelor of Science degree in Business Economics: Financial Management from SUNY Cortland, holds her Series 14 and is also a Certified Anti-Money Laundering Specialist (CAMS).

In her free time, Eden enjoys traveling, staying active and spending time with her family and friends. Countries she recently visited are Italy, Greece, Switzerland and Mexico.