Korrine Kohm

Director of Retail Wealth Manager Services

Ascendant, a CSS Company

Prior to joining Ascendant Compliance Management, a CSS Company, 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 AIB’s Compliance Committee, responsible for ensuring compliance with Federal and State regulations. An active member of the National Society of Compliance Professionals for nine years, Korrine earned her Investment Adviser Certified Compliance Professional (IACCPTM ) 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. She has particular experience in creating policies and procedures, developing and implementing compliance programs, conducting on-site compliance reviews, risk assessments and mock SEC examinations. She routinely counsels clients on various regulatory matters, including SEC registration issues, advertising, developing or refining compliance programs, disclosures and the annual review process. Ms. Kohm is a graduate of St. John’s University where she obtained both her B.A. in History and M.A. in Government and Politics. Korrine also attended Trinity College, Dublin, pursuing Irish history and literary courses.

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