Karen Scellini has over 15 years of compliance experience in the financial services industry. Prior to joining LeGaye Law Group, she managed the day-to-day operations of a SEC registered investment advisory firm and its affiliated broker-dealer. While there, her responsibilities included:
- Maintaining both the broker/dealer and adviser’s compliance program, including updates to the broker-dealers Policies and Procedures, and the Code of Ethics, Compliance Manual and Form ADV for the investment adviser.
- Performing annual compliance monitoring and testing.
- Overseeing the anti-money laundering program.
- CRD and IARD administration.
- Drafting quarterly fact sheets for the proprietary mutual funds of the group.
- Preparing, and filing reports and notices with the regulators,.
- Assisting with regulatory audits.
Prior to that, Karen also worked as an Executive Assistant for a day-trading broker-dealer firm and she had over 15 years prior experience in the Executive Recruiting and Property Management industries.