Kerri Cain

Kerri Cain is the Managing Director, Global Head of Compliance Operations. Ms. Cain joined Guggenheim in 2012 focusing on SEC and CFTC regulatory filings such as Form ADV, Form PF and CPO-PQR. In December 2013 she accepted a position as CFO of WBI Investments, Inc., but rejoined Guggenheim in September 2015. Ms. Cain's current responsibilities also include overseeing a number of firm-wide compliance operational processes. She works with different areas of compliance within Guggenheim to develop more efficient, controlled processes. Prior to joining Guggenheim, Ms. Cain managed the accounting department of Caxton Associates, LLC, an investment management firm specializing in hedge funds. Ms. Cain holds an M.B.A. in Financial Management from Pace University and a B.S. in Accounting and Finance from Manhattan College. She holds the FINRA Series 27, 7 and 66 licenses.

5f. PF - Compliance and Regulatory Issues for Private Credit (Intermediate)