Karen Ariza joined NCS Regulatory Compliance in May 2016 and serves as a Registrations Associate with the investment adviser services team. Ms. Ariza supports the compliance consulting needs of the firm’s investment adviser clients by interpreting and completing State and SEC form filings, registrations and exam requirements. She has been in the financial services industry since 2003 and has served in multiple capacities working with broker-dealers and investment advisers. Prior to joining NCS Regulatory Compliance, Ms. Ariza was employed by the Financial Industry Regulatory Authority (FINRA) in Rockville, MD where she served as the Client Services Lead. In this role, she was responsible for the company’s testing and examination items and enrollments for all registered representative, investments advisers, and external clients. In addition, she has extensive knowledge with Web CRD and the IARD systems having worked previously in the Registrations and Disclosure department providing firms with guidance on form filings and procedures. Karen graduated from the University of Maryland with a Bachelor of Science in Business Administration.
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