Kathy Kuria
Kathy Kuria is the Principal of Kuria Consulting, LLC, focused on providing compliance services to registered investment advisers and broker-dealers. As a seasoned compliance professional with over 20 years of industry experience, Kathy has worked in registered investment adviser operations and compliance, broker dealer compliance, insurance, and banking. Prior to establishing Kuria Consulting, she served as Chief Compliance Officer of boutique RIAs. Kathy also spent eleven years with BBVA, overseeing the compliance program for the bank affiliated RIA.
Kathy earned a BBA in Finance from Texas Southern University and an MBA in Finance from the University of St. Thomas. She is an Investment Advisor Certified Compliance Professional (IACCP). Kathy is an inaugural member of the Investment Advisor Association (IAA) Diversity, Equity, and Inclusion committee, contributing to the publication which serves as a guide to establishing a DEI program at individual firms.