Kay O'Driscoll, IACCP®

Kay O’Driscoll serves as Senior Compliance Manager, Investment Advisory, supporting the firm’s commitment to maintaining a strong regulatory and fiduciary framework. In her role, she works closely with the Compliance team to oversee investment advisory compliance initiatives, support the firm’s fiduciary obligations, and help maintain the policies, procedures, and regulatory infrastructure that support its advisory business. Kay brings extensive industry experience to the firm, with a background spanning investment advisory compliance, regulatory reporting, SEC and state registration requirements, and regulatory examination support.

Experience:

• Thompson, Seigel & Walmsley LLC, Senior Compliance Officer
• Prudential Securities, Financial Advisor
• PaineWebber, Sales Assistant

Education/Certifications:

• University of Limerick
• Series 7, 24, 63
• Investment Adviser Certified Compliance Professional®