As Director of Operations for Ascent, and Chief Compliance Officer, I have over twenty years of experience working with investment advisory firms.  At Ascent, I lead the strategic direction for all back office functions, including transitioning new clients, providing support to advisors, overseeing technology and systems use and development.  I also serve as the firm’s Chief Compliance Officer overseeing firm compliance.

 

My previous experience before Ascent, was with a regional investment advisory firm as a Managing Director and Client Relationship Manager, assisting clients with all aspects of their investment and financial planning.  I also served as Operations Director, overseeing all aspects of firm operations.

 

Other aspects of my career include experience with such leading institutions as Marine Midland Bank & M&T Bank. At Marine Midland (now HSBC), administering Trust accounts for the bank’s Trust department, while at M&T Bank overseeing trade settlements in the bank’s municipal bond area, assisting traders and providing liaison between operations and trading.

 

I earned a BA in Economics with a minor in Japanese Language at Hobart & William Smith Colleges.

 

My husband, Brad, and I reside in New Hartford with our family and two yellow labs.  I enjoy practicing yoga and running – participating in the Boilermaker Road Race each summer with my children.  We love to ski and spend time at The St. Lawrence River.