Ginny leverages more than 23 years of experience assisting industry firms navigate complex regulations by serving as both an in-house and outsourced Chief Compliance Officer, and a Financial and Operations Professional for more than 25 firms.
Prior to joining Kroll, Ginny served as Director at ACA Group where she advised broker dealers and registered investment advisors on Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) regulations. Before that, she held the title of Senior Director at Foreside Financial Group where she advised broker-dealers and registered investment advisers. She has also consulted various types of broker-dealers and investment advisers for over 17 years.
Further, Ginny has been the lead on numerous FINRA and SEC examinations and has a deep knowledge of a wide range of investment products, including private placements, mergers & acquisitions, retail asset management services, real estate funds and private equity.
Ginny holds the Certified Regulatory Compliance Professional certification from the FINRA Institute and the Wharton School of the University of Pennsylvania. Previously, she served on FINRA’s district seven committee and holds FINRA Series 7, 14, 24, 28, 63, 79, 99 and SIE registrations. She also holds the Certified Fraud Examiner certification.
