Kathleen M. Hendriks, Assistant Director: Alaric Compliance Services

Kathleen M. Hendriks, Assistant Director

Kathleen M. Hendriks
Assistant Director

Office: New York
Phone: (917) 275-4684
Fax: (212) 608-1606
Email: khendriks@alariccompliance.com

Kathleen M. Hendriks, an MBA with Finance emphasis, has served in senior compliance and consulting roles for Transamerica Investment Services LLC, Nuveen Investment Services and NWQ Investment Management LLC. She has developed a broad-based skill set over a 12-year career in compliance, directly overseeing Investment Company Act and Investment Advisor Act compliance, GIPS marketing materials review, ERISA guidelines and SMA (wrapped fee) programs.

Ms. Hendriks has added breadth of experience through her experience in:

Co-managing SEC examinations, facilitating best execution and soft dollar committees, implementing conversion of personal trading to a third party monitoring platform, authoring policies and procedures, forensic testing for annual review under 206(4)-7;
Leading a firm's foreign securities filings program in an environment of sizeable growth in assets under management and diverse product offerings, as well as restructuring;
Managing contracts review, DOL and ERISA reporting; conducting due diligence; and managing client guideline compliance systems.

Ms. Hendriks' strengths include: identifying and assessing key risks for the organization; developing compliance policies and procedures; broad knowledge of securities and investment strategies; providing disclosures and guidance for GIPS compliant marketing materials; implementing strategic plans; building strong interpersonal relationships throughout various organization levels, across affiliates and with clients.

Kathleen M. Hendriks

The Alaric Team

Kathleen M. Hendriks, Assistant Director