Karen Hoff serves as a Compliance Associate with the Investment Adviser Services team. She supports the compliance consulting needs of investment adviser clients by completing regulatory filings, interpreting SEC and state regulations, developing program deliverables, and investigating investment adviser related compliance questions or issues. Prior to joining NCS Regulatory Compliance, Ms. Hoff was a Compliance/Due Diligence Manager for Independent Portfolio Consultants, Inc., where she was responsible for on-boarding new hires for compliance and registration, performing due diligence on prospective solicitors and working with the Chief Compliance Officer on various compliance tasks. Ms. Hoff has over 20 years of experience in various marketing and operations roles in the financial services industry. She currently holds her Series 7, 66 and 24 licenses.
Direct: (561) 330‐3878 | Email: email@example.com