Kelly has 14 years of investment industry experience in the areas of investment adviser and mutual fund compliance. She advises Vista360 investment adviser and fund clients on regulatory compliance matters, including CCO support, compliance program development, annual review, risk assessment, testing, marketing review, SEC examination preparation and service provider due diligence. Clients include institutional advisers, wealth managers, private funds and investment companies across a variety of asset classes and investment strategies.
Previous experience includes:
Compliance Specialist at Heartland Advisors, Inc., an SEC-registered investment adviser managing mutual funds, institutional and wealth management clients.
During her time at Heartland, Kelly worked closely with administrating and monitoring the firm’s compliance with its Code of Ethics, while also responsible for voting proxies and filing class action claims on behalf of clients and funds. Additionally, she was the primary registration liaison for the third party broker dealer in the coordination of the Registered Representatives of the Firm and assisted in the preparation of the quarterly Board of Directors meetings as well as external regulatory examinations.
Advertising Review Representative, Officer at Quasar Distributors, LLC, a limited purpose broker-dealer serving over 200 clients, with a focus on mutual funds and exchange traded funds.
While at Quasar, Kelly developed working knowledge of FINRA and SEC rules governing Communications with the Public including FINRA Rule 2210, SEC Rule 34b-1 & SEC Rule 482. Her primary responsibilities at Quasar included the review and approval of Fund client advertising/marketing material and filing the applicable material with FINRA.
Previously obtained FINRA Series 6, 7, 26 & 63 licenses
Education & Affiliations:
Bachelor of Science in Business Administration at Illinois State University
Planning Committee Member, Walk to End Alzheimer’s – Rockford, IL
Development Committee Member of Bloom360 Learning Community