Title:Chief Compliance Officer
Education:B.A. in Management, Gettysburg College; M.B.A., Loyola University Maryland
As Chief Compliance Officer for Cherry Bekaert Wealth Management, Chris is in charge of the Firm’s overall compliance efforts. His primary responsibilities are to ensure that Cherry Bekaert Wealth Management complies with regulatory requirements and has a sound compliance infrastructure. Other duties Chris handles include serving as the key liaison with regulatory agencies, as well as third-party service providers like legal counsel, broker dealers, and custodians. In addition, he safeguards proper due diligence on the Firm’s vendors, secures various licensing for the Firm and its employees, manages insurance policy and bond needs, and coordinates all legal and corporate governance matters.
With more than 18 years of experience in the financial services and registered investment advisory field, Chris possesses a strong background in investment operations, compliance, customer service management, retirement plan servicing, training and administration.
Chris joined the Firm from Capital One Investing, LLC, where he was a compliance advisor senior manager in which he served as the day-to-day compliance contact for its Registered Investment Advisor.
- FINRA Series 66 Investment License