Karen Steighner


Compliance Advisers, Inc

Karen Steighner has worked in the securities industry in various capacities her entire professional career of more than 30 years and has extensive experience as a C-level compliance official as well as knowledge of securities and investment banking, investment advisory and investment company activities.

Ms. Steighner is an accomplished Compliance Executive who has remained passionate for years about protecting the investing public by helping securities industry firms stay abreast of and in compliance with securities regulation designed to detect and prevent violations.

She has committed her entire career to furthering her knowledge of securities rules & regulations for broker dealers, investment advisers and funds.

Recognized for exceptional leadership in securities compliance consulting in an ever-changing regulatory environment, she has demonstrated success in designing customized compliance and supervisory programs for small and mid-sized securities firms. Ms. Steighner provides executive-level direction and oversight of enterprise-wide audits, risk assessments, regulatory investigations and compliance reviews.

She has managed effective change strategies and developed a culture of excellence through corporate-level vision, direction and inspiration, to promote motivation and results.

Her work ranges from the design of sophisticated risk-based client solutions to complex regulatory compliance challenges.

Prior to working at Compliance Advisers, she has served as a Chief Compliance Officer, Director of Compliance, Taxable Fixed Income Specialist and an Operations Manager.

She has an MBA as well as multiple securities registrations – Series 7, 24, 27, 63, 65, 79 and 99.

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