Carol joined Wingate in 2000 and works closely with our Chief Executive Officer and Chief Compliance Officer to meet all of the firm’s compliance obligations. This includes preparing SEC filings, including Form ADV, drafting firm compliance policies and procedures, conducting internal compliance audits, preparing for regulatory examinations, reviewing client agreements, and monitoring compliance related firm activities. Carol holds the Investment Adviser Certified Compliance Professional® designation. Carol also assists the Operations Department by processing and reviewing new client account applications, transfers, and all requests and deposits to outside custodians.
Carol and her husband, John, have two adult children, and in her spare time, Carol enjoys cooking, reading and shopping (as a native New Yorker, she was born with a dominant shopping gene).