Tracy Abbott


VP,Compliance

Prudential


Tracy K. Abbott, CSCP, is Vice President-Compliance at Prudential Financial in the Investment Management Division. Prior to joining Prudential, she served as Compliance Officer at the New York State Common Retirement Fund in Albany, NY, where her primary responsibilities involve developing, implementing and reviewing the compliance program, conducting on-going risk assessments, providing primary support to resolve compliance matters, and providing support to all divisions with respect to compliance issues. Ms. Abbott is a graduate of Utica College of Syracuse University with a Bachelor of Science degree in Criminal Justice/Economic Crime Investigation and an MBA in Economic Crime and Fraud Management. Prior to joining the Office of the New York State Comptroller, Ms. Abbott spent over fourteen years working as a compliance professional for a prominent global investment management firm, as well as a private wealth management firm. She has experience investigating identity theft, as well as other financial crimes and is a frequent speaker and trainer in the industry on compliance, risk management and forensic testing, including conducting fraud training for securities examiners from the SEC, FINRA, CBOE and NASAA at SEC headquarters in Washington, DC. Additionally, Ms. Abbott serves on the Board of Advisors of the Economic Crime Institute at Utica College and is a former board member of the National Society of Compliance Professionals.


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