Leo Karwejna joined PFM to head the Compliance team in 2011 as Chief Compliance Officer and Managing Director. He has over 15 years of experience providing compliance support to firms in the investment advisory and securities-trading businesses including equity, fixed income, real estate (direct property and REIT securities), and additional alternative investment strategies.
Responsible for all regulatory compliance program efforts related to PFM’s business activities and personnel, Leo assists PFM professionals with specific compliance advisory guidance and leads the PFM Compliance team’s efforts to develop, maintain, and monitor firm-wide compliance with appropriate policies, procedures and regulatory requirements.
Mr. Karwejna’s prior experience includes compliance management positions at Prudential Financial Inc., Deutsche Asset Management and RREEF Alternative Investments. Leo also regularly serves as an Arbitrator for securities-related issues among the investing public and/or industry participants. These issues are heard and decided upon under the FINRA regulatory organization’s dispute resolution mechanism.
He earned a BS in finance from Saint Joseph’s University and a JD from Temple University School of Law.