Michelle Schwab
Michelle Schwab has served as the Chief Compliance Officer and Chief Information Security Officer of Ellsworth Advisors since 2018. Ellsworth Advisors is an independent Registered Investment Adviser providing comprehensive financial planning, asset management, asset allocation, retirement planning and estate planning services to individuals, families, business owners and corporate retirement plans. Her primary responsibilities include overseeing and managing regulatory compliance issues, designing and implementing internal controls and creating policies and procedures for the firm. Michelle possesses more than 20 years of compliance experience covering: • Advertising/marketing creation, review, approval, and retention; • Annual reviews; • Business continuity and disaster recovery; • Correspondence review and retention; • Cybersecurity; • Disclosures and business practices; • Dual registrants; • Fiduciary duty; • Insurance; • Outside business activities; • Policies and procedures; • Private equity and private real estate investments; and • Remote auditing/remote supervision Along with her bachelor’s degree in Business Administration, she has received designations as a Fellow, Life Management Institute (FLMI); Associate, Insurance Regulatory Compliance (AIRC); and Associate, Customer Service (ACS). She was an active member of the Southern California Compliance Group and with the National Society of Compliance Professionals.