Nicole Del Rosario

Information

Nicole has over 20 years of experience working with FINRA and SEC rules and regulations. She works closely with investment advisers, private equity firms and broker dealers to help them understand compliance risks and regulatory obligations. Prior to joining COMPLY Nicole was a Director of Compliance and Anti-Money Laundering Officer at a broker dealer, investment adviser and insurance company where her responsibilities included compliance oversight for broker-dealer trading and operations and code of ethics. Nicole has held her Series 7, 24, 4, 66 licenses as well as her Life and Health Insurance Licenses. Currently she holds the Investment Adviser Certified Compliance Professional designation (IACCP®) and the Certified Anti-Money Laundering Specialist designation (CAMS).