Assistant Vice President & Senior Compliance Consultant
Ann Keitner has more than 24 years of financial services industry experience. Her career has spanned not only investment adviser and broker/dealer compliance, but also custody services, custody and asset management marketing, and operations management. Ann has provided input in the creation and maintenance of both investment adviser and broker/dealer compliance programs. She has developed, overseen, and executed compliance testing programs and risk assessments, as well as internal mock exams. She collaborates effectively with business partners, clients, industry colleagues, and regulators.
In her role as Assistant Vice President, Senior Compliance Consultant at AdvisorAssist, Ann works with both new and previously registered investment advisors with their varying compliance needs. Prior to joining AdvisorAssist, Ann was an Executive Director at Elinphant and Consultant at ReGroup. In both roles, she assisted clients in the financial services industry including broker-dealers, investment advisors, and hedge funds to provide compliance, risk management, and governance solutions. She participated in multiple client projects including compliance manual assessment and development, code of ethics assessment and development, compliance system assessment and implementation, annual reviews, email review program development, and employee training.
Her previous in-house compliance experience includes her work at Liberty Mutual Asset Management Group Inc. as the Director of Investment Adviser Compliance, Chief Compliance Officer for Hermes Fund Managers (North America) Inc., Chief Compliance Officer for Hermes Fund Distributors, and Assistant Vice President and Senior Compliance Officer for Standish Mellon Asset Management. In her time at these firms, Ann was recognized for being both abreast of developments in the regulatory and governance environment and proactive in areas related to compliance education and training. She is adept in identifying gaps and/or risk exposure as well as developing and implementing appropriate solutions. Ann has proven herself in providing leadership and guidance related to the effective implementation of processes, governance, systems, and resource allocation against evolving regulatory requirements.
Ann earned her BA in Economics from William Smith College in Geneva, New York. She is a member of the National Society of Compliance Professionals (NSCP) and was previously part of that organization’s Meetings Committee. She held Series 6, 7, 24, and 63 licenses from FINRA and passed the Principles Level exam for the CFA Institute’s Certificate in Performance Measurement (CIPM®) Program.