Katherine (Katie) Spence

Audit Manager


Katie has more than 15 years of experience in the areas of compliance and audit including operational risk analysis, regulatory compliance, business process improvement and training. Katie is a graduate of Ohio State University, holds FINRA Series 7, Series 24, Series 63, and Tennessee Life Insurance Licenses and is a Certified Internal Auditor (CIA), Certified Fund Specialist (CFS) and Certified Anti-Money Laundering Specialist (CAMS). She also holds the Associate Insurance Regulatory Compliance (AIRC), Investment Advisor Certified Compliance Professional (IACCP) designation, COSO Internal Control, CAIA Alternative Investments, and the CFA Investment Foundations certifications.

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(860) 672-0843 info@nscp.org