Carolyn Kasky


Consultant

Compliance Support Services


Carolyn Kasky is the founder and managing member of Compliance Support Services LLC, a consultancy offering compliance services for small limited-purpose broker dealers. Her more than 25 years of compliance consulting, project management, customer service, technical writing and business analysis experience position her to provide rock solid regulatory compliance services to her clients. In addition to managing her consulting firm, she conducts AML audits for limited purpose broker dealers.

Ms. Kasky began her financial industry career as a back office and sales person with a discount broker and moved to First Union Brokerage Services where she served as AVP in charge of Operations for several years. She moved to a small broker dealer clearing firm in Philadelphia as a customer service representative, and served as the Firm’s technical writer, business analyst in the Systems Department and project manager for the IT division until she founded her current firm.

Carolyn holds the Series 7, 24, 28, 79 and 99 FINRA licenses, and the Certified Anti-Money Laundering Specialist (CAMS) designation from the Association of Certified Anti-Money Laundering Specialists (ACAMS) where she has been a member since 2003. She also holds the Certified Securities Compliance Professional (CSCP) designation from the National Society of Compliance Professionals (NSCP) where she has been a member since 2007. Carolyn is a current NSCP board member and serves as co-chair of the Board’s Strategic Planning Committee; an active member of the NSCP BD Forum calls which meet by phone once a month; a frequent speaker at NSCP Conferences; contributor to the NSCP Compliance Forum and author/co-author of several articles published in NSCP Currents.


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