Leslie Green


CCO

Calfee Halter & Griswold LLP


Leslie Green is a Chief Compliance Officer with Calfee, Halter, & Griswold LLP supporting Investment Adviser and Broker Dealer clients in the development, administration, and governance of all compliance and risk management practices. Leslie has more than a decade of experience in overseeing compliance with state and federal securities regulations for Investment Advisers and Broker-Dealers. At Calfee, her clients include private fund advisers, wealth managers, family offices, mutual fund trusts, institutional asset managers, and full-service, limited-purpose, retail, and institutional Broker-Dealers. Leslie has extensive practice in the development and maintenance of Investment Adviser and Broker-Dealer Compliance Programs, including compliance policies and procedures and written supervisory procedures, risk management and mitigation, ongoing and annual testing and audit programs as required by Rule 206(4)-7, 38a-1, and FINRA Rule 3130, sub-adviser and service provider due diligence, broker-dealer branch office supervisory programs, advertising and correspondence review and approval, and the development and execution of compliance training. Additional focus areas include best interest standard of care, cybersecurity, and privacy regulation. Leslie earned her M.B.A. from Xavier University, with a concentration in Values Based Leadership, and is a Cintas Graduate Ethics Fellow. She earned her B.A. in Economics and Management from Wittenberg University.


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