Korrine Kohm
Korrine Kohm is a nationally-recognized leader in regulatory compliance for wealth management and private fund managers. Korrine works with clients in the development and implementation of complex compliance programs, conducts on-site compliance reviews, mock SEC examinations, as well as due diligence reviews for manager mergers and acquisitions. Korrine routinely counsels clients on various regulatory matters, including SEC registration issues, advertising, developing or refining compliance programs, disclosures and the annual review process. As a national leader in compliance, Korrine is frequently asked to speak at industry conferences on the topics ranging from ethics and compliance programs develop to regulatory developments. Korrine specializes in making the vast array of regulations understandable to her clients, while creating policies and procedures catered to the uniqueness of the investment adviser's business.
Prior to joining altPILOT as its Managing Director, Korrine was the Director of Retail Wealth Services at CSS, a Confluence Company for over a decade. Prior to that, Korrine was the Chief Compliance Officer and Head of Operations at Estabrook Capital Management, where she was responsible for all compliance functions of this SEC-registered, $2.1B investment advisory firm. Korrine began her regulatory career while working at Allied Irish Bank (NY) in the Operations Department where she was a member of the compliance Committee, responsible for ensuring compliance with Federal and State regulations.
An active member of the National Society of Compliance Professionals for over seventeen years, Korrine earned her Investment Adviser Certified Compliance Professional (IACCP™ ) designation in 2006, is a member of the Association of Certified Fraud Examiners, and has obtained her Certified Fraud Examiner designation. In addition to her experience in compliance and banking, Korrine began the sixteen-week intensive training course in Quantico, Virginia, to become a Special Agent with the Federal Bureau of Investigation.
3a. ALL – Ethical Practice Programs in Action (Intermediate - OPEN)