Director of ALARIC Compliance Services, LLC
Karin Louie has over 18 years of experience in the financial services industry and served as both the Senior and the Compliance Registered Options Principal at Gruntal & Co., LLC. Her role as principal included spearheading regulatory examinations by the Chicago Board Options Exchange, supervision of sales practice reviews and client account approvals. She also served as a Compliance Officer for several Wall Street firms. Her responsibilities included annual presentations and branch audits, logistical development of various trade reports and documentation as well as legal support in litigation and arbitration. Ms. Louie holds an MBA in Financial Management and International Business and a BBA in General Business/Finance, both with honors from Pace University’s Lubin School of Business. She is a member of Beta Gamma Sigma, International Honor Society in Business and Management, and she qualified for the following securities industry licenses: Series 4, 7, 8, 24, 55 and 63.
