COMPLIANCE ANALYST, COMPLIANCE AND RISK MANAGEMENT
Olivia joined the Asgard team in April 2018. She advises our Broker-Dealer and Investment Advisor clients in developing proactive strategies and tactics for regulatory compliance and risk management. This includes conducting Supervisory Control Testing (FINRA Rule 3120), independent AML inspections (FINRA Rule 3310), Investment Advisor Annual Reviews (SEC Rule 206(4)-7), preparing and filing Form ADV and Form CRS updates and assisting with SEC and FINRA examinations. Olivia conducts electronic communication surveillance reviews, prepares and files Web CRD filings including Form U4, Form U5 and Form BD updates, prepares Asgard Regulatory Briefs related to new securities laws and updates and conducts personal securities account reviews. Olivia is instrumental in the development of client relations and the ongoing monitoring of those relationships.
In addition to regulatory compliance and risk management, Olivia has begun to lead Asgard’s information security and ongoing business operations initiative, ensuring policies are in place, risks are identified and analysis is conducted. As part of the Supervisory Control Testing, Olivia has expanded our testing processes to include information security, including vendor due diligence and ensuring there are proper information security policies in place. As Editor of Asgard’s blog, Olivia has focused on Regulatory Briefs surrounding information and cyber threats to ensure Asgard’s clients are well-informed.
Olivia holds a Bachelor of Arts degree in Public Relations from Hofstra University, a Paralegal Certificate from Nassau Community College and is currently enrolled in the Cyber Policy and Risk Analysis Master of Professional Studies program at Utica College.
In her free time, Olivia enjoys spending time with her family and friends, going to the beach and traveling.